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 |
|---|---|---|---|---|---|---|---|---|
| Marc Edmond Haggar | 4146965 | 2 | 03/03/2023 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| John P O'Leary | 2354306 | 5 | 02/09/2023 | Customer Dispute | Denied | $419,770.00 | $0.00 | See FINRA Report |
| Michael Thomas Eustace | 2814830 | 3 | 02/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arturo Alejandro Bravo | 6034780 | 1 | 01/31/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Robert Catania | 2792998 | 3 | 12/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Drechsel Skagen | 5176830 | 1 | 12/27/2022 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Terence Joseph Hardy | 6419109 | 1 | 12/17/2022 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| John Bradfield Ryan | 2564445 | 1 | 12/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lance Edward Cholet | 3239588 | 2 | 12/07/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua R Axel | 4227334 | 3 | 12/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |