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 |
|---|---|---|---|---|---|---|---|---|
| James Evan Hulburd | 1111970 | 1 | 10/11/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $79,000.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Settled | $195,000.00 | $0.00 | See FINRA Report |
| Glenn Allen Mosier | 341344 | 4 | 03/04/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Emerson Matthews | 1069430 | 2 | 10/23/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 09/30/1984 | Customer Dispute | Settled | $1,648,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/31/1984 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/01/1983 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/04/1983 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |