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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Francis Miller | 2816732 | 1 | 03/30/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cari Lee Tortorella | 3213780 | 2 | 10/06/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick Russell Hahn | 2284829 | 5 | 05/04/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Steven Dalimonte | 1909545 | 1 | 03/12/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William George Marcoux | 3146480 | 1 | 12/05/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Angela D Bentley | 2662890 | 1 | 11/09/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Forrest Eugene Fielder | 4287284 | 2 | 08/04/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Henry Julien Muller | 2264775 | 3 | 07/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James G Fair | 5087405 | 1 | 05/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Pratt | 873992 | 1 | 04/30/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |