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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth George Catanella | 43254 | 15 | 09/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen James Wilson | 726212 | 1 | 07/30/1984 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 01/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Stephen Oleszkowicz | 837970 | 5 | 12/19/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay P Mechling | 1238949 | 4 | 03/02/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay P Mechling | 1238949 | 4 | 03/02/1983 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Myles Frederick Wittenstein | 470824 | 1 | 11/30/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Donnell Klein | 271405 | 3 | 09/15/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 05/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Jerome Bloom | 827097 | 2 | 01/27/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |