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 |
|---|---|---|---|---|---|---|---|---|
| John Howard Saunders | 870131 | 6 | 01/18/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John F Sofranko | 4658914 | 1 | 12/13/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Brian James Mariash | 4371979 | 3 | 12/08/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tucker Wadkins | 6622417 | 1 | 12/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Allen Schwartz | 1022377 | 3 | 12/05/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Fortuno | 2323674 | 1 | 12/01/2023 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See FINRA Report |
| Frank Julio Carrasco | 2006959 | 2 | 12/01/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Ricardo Eboli-Kodesh | 4313868 | 15 | 11/28/2023 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 11/28/2023 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Gurian | 2775030 | 3 | 11/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |