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 |
---|---|---|---|---|---|---|---|---|
Seth Neil Ripple | 2308776 | 1 | 09/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Morris I Betesh | 2119633 | 1 | 09/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
John James Petracco | 1066918 | 13 | 08/27/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Howard Redgate | 372311 | 1 | 11/09/1990 | Customer Dispute | Denied | $36,286.90 | $0.00 | See FINRA Report |