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 |
|---|---|---|---|---|---|---|---|---|
| Tyson Michael Tibshraeny | 1288033 | 2 | 01/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Ellis Gold | 223820 | 6 | 12/01/1991 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Steven John Greco | 1988549 | 2 | 11/25/1991 | Customer Dispute | Award / Judgment | $7,200.00 | $3,600.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 11/08/1991 | Customer Dispute | Award / Judgment | $19,620.00 | $3,500.00 | See FINRA Report |
| Frederic Edward Jauch | 708543 | 2 | 10/10/1991 | Customer Dispute | Settled | $46,438.90 | $0.00 | See FINRA Report |
| Daniel N Gottlieb | 1137192 | 1 | 09/09/1991 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Michael A Nelson | 1030190 | 3 | 09/01/1991 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 09/01/1991 | Customer Dispute | Settled | $48,424.00 | $0.00 | See FINRA Report |
| John Michael Polanshek | 1315176 | 3 | 08/21/1991 | Customer Dispute | Award / Judgment | $10,171.00 | $2,188.50 | See FINRA Report |
| Kenneth Edward Zalcman | 475695 | 3 | 07/29/1991 | Customer Dispute | Settled | $21,600.00 | $0.00 | See FINRA Report |