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 |
|---|---|---|---|---|---|---|---|---|
| Myron Humphrey Bond | 25509 | 2 | 02/16/1988 | Customer Dispute | Award / Judgment | $1,752,000.00 | $342,860.00 | See FINRA Report |
| William Charles Stonhaus | 1031651 | 10 | 01/01/1988 | Customer Dispute | Settled | $386,582.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 12/29/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 12/10/1987 | Customer Dispute | Settled | $562,416.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 12/01/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy William Tunney | 1032749 | 4 | 11/17/1987 | Customer Dispute | Award / Judgment | $66,946.00 | $46,000.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 11/10/1987 | Customer Dispute | Settled | $562,418.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 10/27/1987 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Richard Eldon Hamrick | 865179 | 2 | 09/08/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 08/07/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |