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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Donovan | 1005325 | 6 | 08/02/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Hovekamp | 1513970 | 2 | 07/27/1988 | Customer Dispute | Settled | $26,856.00 | $0.00 | See FINRA Report |
| Charles Sumner Smith | 501256 | 4 | 07/26/1988 | Customer Dispute | Award / Judgment | $95,000.00 | $20,000.00 | See FINRA Report |
| Jeffrey Michael Brunner | 1064435 | 2 | 07/01/1988 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 05/25/1988 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David S Justman | 826490 | 4 | 04/29/1988 | Customer Dispute | Award / Judgment | $0.00 | $500.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 03/31/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Joseph Sabia | 717222 | 1 | 03/18/1988 | Customer Dispute | Award / Judgment | $230,046.00 | $162,000.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 02/23/1988 | Customer Dispute | Settled | $74,000.00 | $0.00 | See FINRA Report |
| William Scott Fortner | 724717 | 1 | 02/22/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |