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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth George Catanella | 43254 | 15 | 03/21/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 03/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 01/26/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 01/01/1983 | Customer Dispute | Award / Judgment | $80,000.00 | $10,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 01/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 11/27/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 11/01/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 11/01/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Melvyn Tannenbaum | 442430 | 2 | 07/23/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 07/22/1982 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |