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 |
|---|---|---|---|---|---|---|---|---|
| Xavier Ortiz Mena | 2930223 | 1 | 12/03/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Edward Cornwell | 2167834 | 1 | 07/15/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew John Tomaino | 7552517 | 1 | 08/09/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph McCarthy | 6392224 | 1 | 03/02/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Donovan Werner | 7207877 | 1 | 08/08/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessi Green | 6611147 | 1 | 10/25/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Schuurman | 5482939 | 1 | 07/10/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Deigan | 5518931 | 1 | 03/18/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Kinsey | 6555917 | 1 | 03/13/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brennan David Lane | 6696196 | 1 | 11/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |