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 |
|---|---|---|---|---|---|---|---|---|
| William Burton Shreve | 852878 | 3 | 12/01/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kim Ray Sheets | 1284913 | 1 | 10/05/1989 | Customer Dispute | Settled | $36,764.40 | $0.00 | See FINRA Report |
| Patrick Roland Grayson | 1025195 | 1 | 09/01/1989 | Customer Dispute | Award / Judgment | $6,800.00 | $7,000.00 | See FINRA Report |
| George William Skonberg | 1172890 | 1 | 07/11/1989 | Customer Dispute | Award / Judgment | $0.00 | $100,000.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 06/26/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy William Tunney | 1032749 | 4 | 06/06/1989 | Customer Dispute | Award / Judgment | $50,000.00 | $24,062.00 | See FINRA Report |
| Timothy Joseph Croak | 840899 | 4 | 05/31/1989 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Jeffrey Neil Klotz | 734678 | 1 | 04/15/1989 | Customer Dispute | Award / Judgment | $0.00 | $75,000.00 | See FINRA Report |
| Timothy Parson Marshall | 1280980 | 3 | 01/18/1989 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Timothy Odonnell Cornell | 837619 | 2 | 01/13/1989 | Customer Dispute | Settled | $197,744.00 | $0.00 | See FINRA Report |