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 |
|---|---|---|---|---|---|---|---|---|
| Matthew K Tompkins | 1459996 | 2 | 03/11/1992 | Customer Dispute | Settled | $174,000.00 | $0.00 | See FINRA Report |
| Charles Harold Cooper | 1001588 | 3 | 03/03/1992 | Customer Dispute | Award / Judgment | $4,750.00 | $12,000.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 02/29/1992 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Barry Thomas Oneil | 1186926 | 3 | 02/13/1992 | Customer Dispute | Settled | $486,203.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 02/12/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 02/10/1992 | Customer Dispute | Settled | $11,619.50 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 02/10/1992 | Customer Dispute | Settled | $13,930.80 | $0.00 | See FINRA Report |
| John Lawrence Sullivan | 846327 | 2 | 02/09/1992 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 01/31/1992 | Customer Dispute | Settled | $13,340.00 | $0.00 | See FINRA Report |
| Louis Anthony Sforza | 1309377 | 4 | 01/16/1992 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |