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 |
|---|---|---|---|---|---|---|---|---|
| Brian Stephen Davis | 1269412 | 1 | 06/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Crystal Y Proctor | 7693824 | 1 | 11/02/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Meredith Campbell | 6815802 | 1 | 06/07/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph J Restaino | 4426878 | 1 | 04/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Spencer John von Rueden | 6597474 | 1 | 03/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven M Quinn | 4754284 | 1 | 02/03/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kristie Sue Anderson | 4210480 | 1 | 05/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Fleming Smalley | 708742 | 6 | 08/01/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Julio Antonio Leaty | 2098529 | 2 | 01/17/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tami A Grove | 2292267 | 1 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |