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 |
|---|---|---|---|---|---|---|---|---|
| Linda Lee Abbott | 2364437 | 1 | 05/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Schuman Zeis | 4665595 | 1 | 04/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew B Seukunian | 6219396 | 2 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew B Seukunian | 6219396 | 2 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Logan | 7318968 | 2 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derar Suleiman Damra | 6870460 | 5 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derar Suleiman Damra | 6870460 | 5 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derar Suleiman Damra | 6870460 | 5 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Stephen Costas | 1759628 | 2 | 07/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Jay Marvin | 1313737 | 4 | 07/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |