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 |
|---|---|---|---|---|---|---|---|---|
| Dwight Clyde West | 463778 | 6 | 10/13/1986 | Customer Dispute | Settled | $438,000.00 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 10/10/1986 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| James Morgan Lee | 305289 | 2 | 07/16/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dan Robert Lindstrom | 731250 | 2 | 05/12/1986 | Customer Dispute | Award / Judgment | $29,212.90 | $10,000.00 | See FINRA Report |
| Edmund G Nasief Jr | 819845 | 1 | 05/01/1986 | Customer Dispute | Award / Judgment | $50,352.00 | $19,949.00 | See FINRA Report |
| Robert Glen Levy | 1049051 | 2 | 03/01/1986 | Customer Dispute | Settled | $72,725.20 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 01/09/1986 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Mark Alexander Addessi | 1093993 | 1 | 12/30/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| L Marc Shegoski | 726591 | 1 | 12/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Joaquin Rodriguez-Villalobos | 1170207 | 4 | 11/01/1985 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |