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 |
|---|---|---|---|---|---|---|---|---|
| Allan Dean Yarkin | 809579 | 6 | 04/29/1991 | Customer Dispute | Award / Judgment | $47,345.00 | $15,250.00 | See FINRA Report |
| Melinda Joyce Abood | 867463 | 5 | 03/22/1991 | Customer Dispute | Award / Judgment | $117,134.00 | $123,472.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 03/21/1991 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 03/07/1991 | Customer Dispute | Award / Judgment | $31,421.00 | $6,024.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 03/01/1991 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Charles L Verner | 1196231 | 3 | 02/22/1991 | Customer Dispute | Award / Judgment | $13,750.00 | $13,750.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 02/22/1991 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Bradley Frederickson | 1400589 | 1 | 02/15/1991 | Customer Dispute | Settled | $7,939.97 | $0.00 | See FINRA Report |
| John Jay Marvin | 1313737 | 4 | 02/13/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Louis Anthony Sforza | 1309377 | 4 | 02/12/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |