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 |
|---|---|---|---|---|---|---|---|---|
| Jason James Chirogianis | 2388748 | 1 | 12/04/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Staci Q Black | 2204593 | 1 | 10/03/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Craig Rathjen | 1536196 | 1 | 08/13/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Patrick Monaghan | 2460962 | 1 | 07/27/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael William Chudd | 2531241 | 1 | 02/12/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Wayne Tolman | 2066775 | 3 | 10/28/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Geir Fjugstad | 2320256 | 2 | 02/05/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Fred Vengelen | 2198075 | 2 | 10/24/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Darrell Scott Rosenthal | 1702839 | 2 | 09/23/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Mark Kever | 1455300 | 2 | 05/06/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |