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 |
|---|---|---|---|---|---|---|---|---|
| Henry Paul Jakobsze | 2792685 | 2 | 07/16/2024 | Customer Dispute | Denied | $650,000.00 | $0.00 | See FINRA Report |
| Robert Parker Stoner | 4488302 | 1 | 07/11/2024 | Customer Dispute | Denied | $25,100.00 | $0.00 | See FINRA Report |
| Drew Scott Freides | 4262911 | 1 | 07/01/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Leonard Candella | 4365560 | 1 | 05/21/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia B Smith | 501388 | 1 | 05/16/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Siegel | 1579229 | 1 | 03/18/2024 | Customer Dispute | Denied | $177,676.00 | $0.00 | See FINRA Report |
| Alan L Katz | 834107 | 1 | 03/11/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Woods Raho | 5168156 | 1 | 03/05/2024 | Customer Dispute | Denied | $124,000.00 | $0.00 | See FINRA Report |
| Timothy L Rauwald | 2189456 | 2 | 02/15/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Arthur Berns | 1503704 | 1 | 02/12/2024 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |