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 |
|---|---|---|---|---|---|---|---|---|
| Christopher George | 2618582 | 2 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Ross Christensen | 4719720 | 3 | 04/28/2022 | Customer Dispute | Denied | $597,518.00 | $0.00 | See FINRA Report |
| William Blake Thompson | 6219056 | 1 | 04/22/2022 | Customer Dispute | Denied | $229,602.00 | $0.00 | See FINRA Report |
| Claude Hyrum Petty | 2225628 | 2 | 04/22/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| John Kevin Serocke | 2509074 | 3 | 03/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Guillermo Agustin Eiben | 5697705 | 1 | 03/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexis Othaneil Molina | 4227505 | 1 | 01/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brad Lee Desormeaux | 5330613 | 1 | 01/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Glenn Royer | 2379631 | 3 | 10/15/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Claude Hyrum Petty | 2225628 | 2 | 10/13/2021 | Customer Dispute | Denied | $95,001.20 | $0.00 | See FINRA Report |