Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Financial Services Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jonathan Howard Grabel | 1264873 | 6 | 08/01/1992 | Customer Dispute | Award / Judgment | $820,000.00 | $53,865.00 | See FINRA Report |
| Leonard Jay Suskind | 1140599 | 4 | 07/08/1992 | Customer Dispute | Settled | $32,554.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 06/02/1992 | Customer Dispute | Settled | $20,492.80 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 06/01/1992 | Customer Dispute | Settled | $20,621.70 | $0.00 | See FINRA Report |
| Richard D David Rogers | 1403179 | 2 | 05/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 05/26/1992 | Customer Dispute | Settled | $14,426.40 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 05/26/1992 | Customer Dispute | Settled | $15,589.40 | $0.00 | See FINRA Report |
| Richard Steven Milligan | 1947522 | 1 | 05/06/1992 | Customer Dispute | Final | $48,000.00 | $0.00 | See FINRA Report |
| Bradley William Zilbersher | 1226699 | 4 | 05/01/1992 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Mark Robert Serruto | 1197683 | 3 | 04/15/1992 | Customer Dispute | Award / Judgment | $122,428.00 | $70,000.00 | See FINRA Report |