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 |
|---|---|---|---|---|---|---|---|---|
| Diane P Nelson | 2617195 | 1 | 03/06/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Steven Graham | 1298919 | 1 | 01/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Matthew Zentner | 2797807 | 4 | 10/29/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Porter | 2808732 | 2 | 10/25/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Matthew Zentner | 2797807 | 4 | 06/06/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael S Hyatt | 2248263 | 1 | 01/17/2007 | Customer Dispute | Final | $291,021.00 | $0.00 | See FINRA Report |
| Dave Erik Krueckel | 2293940 | 1 | 11/23/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Messinger | 1234161 | 7 | 05/04/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patsy Crayton Berner | 1146726 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Louise McNiel | 1343521 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |