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 |
|---|---|---|---|---|---|---|---|---|
| James Fleming Smalley | 708742 | 6 | 03/27/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 03/21/1990 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 03/15/1990 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Curtis C Charles Brown | 1087724 | 2 | 03/15/1990 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Mark Robert Serruto | 1197683 | 3 | 03/07/1990 | Customer Dispute | Award / Judgment | $85,000.00 | $190,000.00 | See FINRA Report |
| Jose Joaquin Rodriguez-Villalobos | 1170207 | 4 | 01/19/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 01/18/1990 | Customer Dispute | Award / Judgment | $200,000.00 | $92,000.00 | See FINRA Report |
| Ernest V Moncrieff | 1001250 | 3 | 01/01/1990 | Customer Dispute | Settled | $230,127.00 | $0.00 | See FINRA Report |
| Silvana Emanuela Danna | 702626 | 3 | 01/01/1990 | Customer Dispute | Settled | $52,888.00 | $0.00 | See FINRA Report |
| Benjamin Paul Baum | 1504968 | 4 | 12/12/1989 | Customer Dispute | Award / Judgment | $19,000.00 | $8,125.00 | See FINRA Report |