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 |
|---|---|---|---|---|---|---|---|---|
| Debra Ann Bushman | 870056 | 4 | 12/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Elena Laura Bianchi | 1675129 | 4 | 03/25/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Roland Young | 2083667 | 2 | 08/23/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward Mallahan | 1603483 | 2 | 03/21/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John James Petracco | 1066918 | 13 | 12/18/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Edward Orenstein | 732486 | 5 | 09/17/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Alexander Dzikowski | 2105393 | 4 | 08/26/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Joseph Smith | 853446 | 2 | 01/25/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eugenio Alberto Permuy | 2829734 | 2 | 01/12/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Scott Bromberg | 2586900 | 4 | 02/16/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |