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 |
|---|---|---|---|---|---|---|---|---|
| David Sheinheit | 1512493 | 4 | 03/04/1998 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| Robert J Callanan | 1033366 | 3 | 02/11/1998 | Customer Dispute | Denied | $20,645.00 | $0.00 | See FINRA Report |
| Charles Harold Cooper | 1001588 | 3 | 02/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Nassau | 703719 | 3 | 01/12/1998 | Customer Dispute | Denied | $20,615.00 | $0.00 | See FINRA Report |
| Renee Michelle Fourcade | 1021348 | 2 | 01/08/1998 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Harvey Elliot Demsky | 65265 | 1 | 12/29/1997 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 11/19/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Gordon Schifani | 2268653 | 1 | 10/20/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Brian Franken | 1436040 | 1 | 10/06/1997 | Customer Dispute | Denied | $42,368.30 | $0.00 | See FINRA Report |
| David P Paul Sobocinski | 867645 | 5 | 10/06/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |