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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jose Joaquin Rodriguez-Villalobos | 1170207 | 4 | 07/15/1991 | Customer Dispute | Award / Judgment | $160,000.00 | $17,548.70 | See FINRA Report |
| Debra Ann Bushman | 870056 | 4 | 07/12/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leonard Jay Suskind | 1140599 | 4 | 07/03/1991 | Customer Dispute | Award / Judgment | $1,808,000.00 | $904,249.00 | See FINRA Report |
| Susan Mabel Morse | 1129465 | 3 | 06/10/1991 | Customer Dispute | Award / Judgment | $10,000.00 | $7,713.47 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 06/10/1991 | Customer Dispute | Settled | $450,802.00 | $0.00 | See FINRA Report |
| Stephen Jeremy Hall | 234314 | 3 | 06/01/1991 | Customer Dispute | Award / Judgment | $0.00 | $4,383.57 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 05/23/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael van Doubleday | 1412594 | 2 | 05/17/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 05/01/1991 | Customer Dispute | Award / Judgment | $300,000.00 | $72,576.30 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 04/30/1991 | Customer Dispute | Settled | $294,000.00 | $0.00 | See FINRA Report |