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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Paul Corrado | 1676440 | 2 | 06/09/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Felix Joaquin Perez-Retes | 1763279 | 4 | 05/26/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Patrick Brookfield | 2207841 | 4 | 05/05/1998 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| John Allen Short | 1758444 | 1 | 04/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerard Salierno | 1028983 | 4 | 03/27/1998 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Maurice Lee Nissim | 1884760 | 11 | 03/27/1998 | Customer Dispute | Denied | $31,627.50 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 03/25/1998 | Customer Dispute | Denied | $71,000.00 | $0.00 | See FINRA Report |
| Victor Francis Anthony | 1791270 | 2 | 03/16/1998 | Customer Dispute | Denied | $6,400.00 | $0.00 | See FINRA Report |
| Victor Francis Anthony | 1791270 | 2 | 03/16/1998 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Drier | 2158263 | 1 | 03/06/1998 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |