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 |
|---|---|---|---|---|---|---|---|---|
| Gretchen Elaine Hargroder | 2551513 | 2 | 06/08/2023 | Customer Dispute | Denied | $210,500.00 | $0.00 | See FINRA Report |
| Arthur Randall III | 1146676 | 2 | 06/05/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen John Seiber | 1432535 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| Nichole Elizabeth Elizabeth Adams | 4907232 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| John Mitchell Seiber | 418099 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| Maria Ann Gasparro | 2394770 | 2 | 04/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ford Poston | 5309386 | 2 | 04/05/2023 | Customer Dispute | Denied | $252,077.00 | $0.00 | See FINRA Report |
| David H Carlson | 2214571 | 1 | 04/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clinton Wesley Moore | 1685445 | 2 | 03/24/2023 | Customer Dispute | Denied | $8,906.00 | $0.00 | See FINRA Report |
| Avery Lauren Venetta | 7154070 | 1 | 03/23/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |