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 |
|---|---|---|---|---|---|---|---|---|
| Dale Ray Woolhiser | 705319 | 1 | 06/19/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Wayne Tolman | 2066775 | 3 | 07/22/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Harriet Willens | 1305503 | 2 | 04/10/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Lawrence Sullivan | 846327 | 2 | 03/17/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lyle Edward Moss | 857277 | 1 | 02/07/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Agnant Larosiliere | 2485836 | 1 | 10/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 06/07/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Bowes | 27336 | 2 | 02/10/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Rotsky | 1804854 | 2 | 12/22/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick Hart | 1449332 | 2 | 09/19/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |