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 |
|---|---|---|---|---|---|---|---|---|
| Howard Louria Blum | 24138 | 1 | 07/26/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/25/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cary Alan Moskowitz | 1287997 | 4 | 04/30/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Barry Egbert | 76077 | 2 | 04/29/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Edward Sierer | 423614 | 3 | 01/29/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Emerson Matthews | 1069430 | 2 | 11/05/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold David Elish | 1072360 | 1 | 10/09/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 07/22/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gregory Hedrick | 1064417 | 2 | 01/31/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Rasweiler | 602403 | 5 | 11/21/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |