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 |
|---|---|---|---|---|---|---|---|---|
| William Montgomery Cerf | 2269462 | 6 | 09/07/2023 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Mark Steven Elias | 2938707 | 3 | 09/01/2023 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 6 | 08/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Hardy | 2772949 | 1 | 08/25/2023 | Customer Dispute | Settled | $11,053.00 | $0.00 | See FINRA Report |
| Paul B Stepankovskiy | 2943015 | 1 | 08/23/2023 | Customer Dispute | Denied | $48,792.00 | $0.00 | See FINRA Report |
| Donald J Dever | 5317492 | 2 | 08/22/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Raymond Samuel Byers | 2590926 | 2 | 08/22/2023 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Andrew Wade Kittelson | 3122246 | 2 | 08/16/2023 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Franco Dimaio | 2895690 | 1 | 08/09/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Steven Lewellyn Schultz | 1022899 | 3 | 08/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |