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 | 02/07/1991 | Customer Dispute | Award / Judgment | $43,804.00 | $71,069.10 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 02/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 01/25/1991 | Customer Dispute | Award / Judgment | $100,000.00 | $92,792.00 | See FINRA Report |
| Douglas Wayne Tenny | 1398025 | 2 | 12/17/1990 | Customer Dispute | Award / Judgment | $28,000.00 | $9,950.00 | See FINRA Report |
| Randall Guy Colombo | 814115 | 1 | 12/05/1990 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Thomas E Edworth Phillips | 362797 | 1 | 11/15/1990 | Customer Dispute | Award / Judgment | $65,000.00 | $32,500.00 | See FINRA Report |
| Howard Redgate | 372311 | 1 | 11/09/1990 | Customer Dispute | Denied | $36,286.90 | $0.00 | See FINRA Report |
| James Edward Ducey | 1249644 | 4 | 10/03/1990 | Customer Dispute | Award / Judgment | $175,000.00 | $220,166.00 | See FINRA Report |
| Mark Robert Serruto | 1197683 | 3 | 09/17/1990 | Customer Dispute | Settled | $18,340.00 | $0.00 | See FINRA Report |
| Jonathan Joseph Galli | 1172192 | 2 | 09/13/1990 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |