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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Anthony Violante | 6155002 | 1 | 11/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Feng Jin | 6518018 | 1 | 10/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Sr.,James Hilton Sr | 1253959 | 2 | 10/23/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Haydee M Delgado | 1619094 | 2 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Fidel Francisco Trejo | 1251352 | 3 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Aishka O Lugo | 4419998 | 22 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Steven Karl Kocher | 1787735 | 1 | 10/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul K Addo | 5422664 | 2 | 09/29/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John H Klaasen | 4904484 | 3 | 09/29/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Arthur Schwarz | 416535 | 4 | 09/12/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |