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 |
|---|---|---|---|---|---|---|---|---|
| Justin Gromley | 5333019 | 1 | 07/23/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael S Wetrich | 2842343 | 2 | 05/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Elliot Goldman | 2285731 | 2 | 04/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Mabel Morse | 1129465 | 3 | 03/26/2024 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |
| Hallie Page Lee | 5706622 | 1 | 02/13/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald T Hill | 3163186 | 2 | 11/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Glen Levy | 1049051 | 2 | 07/10/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr.,John Marmion Jr | 1139175 | 2 | 06/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arturo Enrique Reyes | 5665908 | 1 | 06/09/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Owen Joseph Galasso | 4047721 | 3 | 05/05/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |