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 Frederick Brauti | 2109081 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Kevin Blount | 2762713 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael McGill | 3212208 | 1 | 02/21/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mauricio Jose Alvarez | 3052838 | 1 | 06/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Messinger | 1234161 | 7 | 06/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ellis Gold | 223820 | 6 | 05/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie A Engelking | 3120784 | 3 | 02/06/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Torrico | 1666636 | 3 | 10/21/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elena Laura Bianchi | 1675129 | 4 | 10/08/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Pupo | 4061925 | 4 | 02/13/2003 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |