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 |
|---|---|---|---|---|---|---|---|---|
| Jorge L Lopez-Balboa | 312625 | 2 | 09/01/1990 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Debra Ann Bushman | 870056 | 4 | 08/28/1990 | Customer Dispute | Settled | $141,000.00 | $0.00 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 08/07/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Frances Kay Huffman | 728636 | 2 | 08/01/1990 | Customer Dispute | Settled | $11,950.00 | $0.00 | See FINRA Report |
| Robert B Wright | 874400 | 2 | 07/26/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rob Antony Sabel | 1806862 | 1 | 07/05/1990 | Customer Dispute | Award / Judgment | $98,000.00 | $20,000.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 06/12/1990 | Customer Dispute | Award / Judgment | $129,132.00 | $25,000.00 | See FINRA Report |
| Elaina S Spilove | 873854 | 2 | 04/26/1990 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Lawrence J John Hayes | 240540 | 2 | 04/23/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David P Paul Sobocinski | 867645 | 5 | 04/12/1990 | Customer Dispute | Award / Judgment | $48,000.00 | $4,545.00 | See FINRA Report |