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 |
|---|---|---|---|---|---|---|---|---|
| John Robert Sholtis | 1514318 | 3 | 01/01/1989 | Customer Dispute | Award / Judgment | $2,500.00 | $40.00 | See FINRA Report |
| John Robert Sholtis | 1514318 | 3 | 01/01/1989 | Customer Dispute | Award / Judgment | $4,800.00 | $500.00 | See FINRA Report |
| Glen R Sondag | 430603 | 4 | 11/22/1988 | Customer Dispute | Award / Judgment | $62,386.90 | $11,157.10 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 11/18/1988 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Scott Richard Ayres | 1425721 | 2 | 11/09/1988 | Customer Dispute | Settled | $33,207.90 | $0.00 | See FINRA Report |
| Michael Amico | 1121993 | 2 | 11/08/1988 | Customer Dispute | Award / Judgment | $62,776.00 | $82,608.70 | See FINRA Report |
| Frank Michael Alecci | 2633 | 6 | 10/03/1988 | Customer Dispute | Award / Judgment | $235,000.00 | $0.00 | See FINRA Report |
| Timothy Odonnell Cornell | 837619 | 2 | 08/26/1988 | Customer Dispute | Settled | $5,150,000.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 08/19/1988 | Customer Dispute | Settled | $56,874.10 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 08/05/1988 | Customer Dispute | Award / Judgment | $932,075.00 | $789,521.00 | See FINRA Report |