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 |
|---|---|---|---|---|---|---|---|---|
| Mark Chenian | 820949 | 2 | 03/01/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Eugene Kelly | 722461 | 1 | 11/23/1982 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Gerard Gundy | 1127210 | 1 | 10/26/1982 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Joseph Croak | 840899 | 4 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |