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 |
---|---|---|---|---|---|---|---|---|
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 | |
Timothy Richard Jones | 2366513 | 1 | 01/28/2014 | 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 | |
Mary Gale Patranella | 2751624 | 1 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Walter Scott Fortney | 3138734 | 5 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |