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 Howard Saunders | 870131 | 6 | 01/18/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian James Mariash | 4371979 | 3 | 12/08/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tucker Wadkins | 6622417 | 1 | 12/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Gurian | 2775030 | 3 | 11/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul B Stepankovskiy | 2943015 | 1 | 08/23/2023 | Customer Dispute | Denied | $48,792.00 | $0.00 | See FINRA Report |
| Andrew Wade Kittelson | 3122246 | 2 | 08/16/2023 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Steven Lewellyn Schultz | 1022899 | 3 | 08/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter H Foley | 2580052 | 4 | 07/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert James Salamy | 2138443 | 3 | 07/27/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David George Ciprich | 2965402 | 1 | 06/28/2023 | Customer Dispute | Denied | $83,715.90 | $0.00 | See FINRA Report |