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 |
|---|---|---|---|---|---|---|---|---|
| Fanny Hiufun Man | 3131213 | 1 | 01/16/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan M Balon | 4550399 | 1 | 12/11/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Erik Stephens | 3053046 | 4 | 10/02/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Xiaoguang Sun | 2805466 | 3 | 05/12/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keegan Michael Hennessy | 2405383 | 1 | 02/10/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Jay Gold | 2336491 | 6 | 08/20/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Ellis Gold | 223820 | 6 | 08/20/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Max Stoka | 4438645 | 1 | 09/11/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher A Pesce | 3274301 | 2 | 12/13/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Fred Vengelen | 2198075 | 2 | 12/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |