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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Joseph Cahill | 1487974 | 5 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Richard Balter | 11622 | 2 | 07/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Wendell | 6862319 | 1 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Posey | 2150733 | 9 | 02/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Seth Neil Ripple | 2308776 | 2 | 06/22/2021 | Customer Dispute | Final | $455,000.00 | $0.00 | See FINRA Report |
| Karen Schuman Zeis | 4665595 | 1 | 04/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melvin D Brittian | 6861467 | 2 | 04/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew B Seukunian | 6219396 | 2 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew B Seukunian | 6219396 | 2 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Logan | 7318968 | 2 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |