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 Bradfield Ryan | 2564445 | 1 | 12/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua R. Axel | 4227334 | 3 | 12/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James P Sheffield | 2951594 | 1 | 11/10/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Murray | 2896442 | 3 | 11/07/2022 | Customer Dispute | Denied | $32,602.20 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 10/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marc Craig Portnoy | 718810 | 1 | 10/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan S Bordash | 872644 | 2 | 10/07/2022 | Customer Dispute | Denied | $37,755.00 | $0.00 | See FINRA Report |
| Shawn Steven Oliver | 2015244 | 2 | 09/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Leighton | 6712286 | 1 | 09/27/2022 | Customer Dispute | Denied | $59,827.20 | $0.00 | See FINRA Report |
| Michael Harvey Hamilton | 2263524 | 3 | 09/23/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |