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 |
|---|---|---|---|---|---|---|---|---|
| Doel Rafael Garciaromero | 1301785 | 95 | 06/08/2017 | Customer Dispute | Dismissed | $6,977,170.00 | $0.00 | See FINRA Report |
| Kenneth Edwin Simon | 1232514 | 2 | 03/24/2016 | Customer Dispute | Dismissed | $165,000.00 | $0.00 | See FINRA Report |
| Isaac D Douek | 4447705 | 2 | 10/11/2013 | Customer Dispute | Dismissed | $2,000,000.00 | $0.00 | See FINRA Report |
| Lisa Ann McCoy | 2745760 | 1 | 03/07/2012 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Hardy L. Lathan Winburn | 4496207 | 1 | 07/20/2009 | Customer Dispute | Dismissed | $600,000.00 | $0.00 | See FINRA Report |
| Tami Lynn Cale | 3156292 | 1 | 06/19/2009 | Customer Dispute | Dismissed | $40,000.00 | $0.00 | See FINRA Report |
| Paul D Katerndahl | 2403426 | 2 | 06/05/2008 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Jason Anthony Murdock | 2383893 | 1 | 03/28/2005 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |