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 |
|---|---|---|---|---|---|---|---|---|
| Yu Zhang | 7054978 | 1 | 10/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 08/22/2019 | Customer Dispute | Final | $725,000.00 | $0.00 | See FINRA Report |
| Haydee Chachamovits | 5793924 | 2 | 08/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carole Ann Kent | 5176182 | 1 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Blake Mintz | 4783179 | 3 | 07/11/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Christopher Millson-Martula | 6049818 | 2 | 07/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Steuerman | 5084137 | 6 | 06/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derar Suleiman Damra | 6870460 | 5 | 04/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 04/07/2019 | Customer Dispute | Final | $10,000,000.00 | $0.00 | See FINRA Report |
| Scott Blake Mintz | 4783179 | 3 | 03/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |