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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Barrera Villar | 4497494 | 1 | 07/27/2022 | Customer Dispute | Final | $1,200,000.00 | $0.00 | See FINRA Report |
| Bruce Richard Balter | 11622 | 2 | 07/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Wendell | 6862319 | 1 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Douglas McPeters | 1200213 | 2 | 05/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Posey | 2150733 | 1 | 02/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 11/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher Stute Wright | 7131638 | 1 | 09/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 07/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katsiaryna Dinar | 5800579 | 7 | 06/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malika White | 6265468 | 2 | 06/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |