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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Joseph Reed | 5929998 | 1 | 09/09/2022 | Customer Dispute | Denied | $85,217.00 | $0.00 | See FINRA Report |
| Steven Allen Miller | 2953887 | 2 | 08/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Parson Marshall | 1280980 | 3 | 08/26/2022 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Toria Scotto | 4778359 | 2 | 08/23/2022 | Customer Dispute | Denied | $110,777.00 | $0.00 | See FINRA Report |
| Sneha Neela Mahajan | 7194607 | 1 | 07/26/2022 | Customer Dispute | Denied | $7,838.00 | $0.00 | See FINRA Report |
| Bryce Alan Flaming | 1792543 | 1 | 07/19/2022 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Roger Wacker | 3265519 | 2 | 07/07/2022 | Customer Dispute | Denied | $2,000,000.00 | $0.00 | See FINRA Report |
| Zach Goldberg | 5265498 | 1 | 06/27/2022 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Jack Ryan Riley | 4306836 | 3 | 05/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stefan Joseph Contorno | 3244623 | 2 | 05/10/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |