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 |
|---|---|---|---|---|---|---|---|---|
| Tami A Grove | 2292267 | 1 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Franklin Grant Fortney | 4418644 | 2 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joel Sebastian Post | 2653863 | 1 | 12/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Everett Weinberger | 1559457 | 1 | 11/18/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Leszek Wass | 5665350 | 1 | 04/01/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Marie Greene | 2301783 | 5 | 03/18/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher A Pesce | 3274301 | 2 | 10/18/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Charles Ketner | 722096 | 2 | 09/29/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Paul Winn | 1650618 | 1 | 08/26/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Katherine Kingsbury Baldt Woodbury | 4568701 | 1 | 08/05/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |