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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Watts | 2200018 | 2 | 02/19/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Laurence Greene | 1871171 | 3 | 01/05/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Sue Gillen | 6165767 | 2 | 01/15/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kami L Evers | 4047725 | 1 | 09/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sterling Matthew Zerbe | 1713756 | 1 | 06/17/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Geoffrey Michael Mann | 1487935 | 8 | 04/22/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee William Montgomery | 722788 | 1 | 01/03/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Scott Hunter | 2019766 | 2 | 08/29/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ozzie R Bauer | 809152 | 2 | 08/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Patrick Holland | 248584 | 2 | 06/08/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |