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 |
|---|---|---|---|---|---|---|---|---|
| Lane Oren Strumlauf | 2242337 | 1 | 11/04/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Judi Washington | 4870305 | 3 | 08/19/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley William Zilbersher | 1226699 | 4 | 07/26/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hunter | 2019766 | 2 | 03/27/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathryn A Sleder | 1338063 | 1 | 01/19/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Alexander Cutter | 1388710 | 2 | 01/15/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John H Klaasen | 4904484 | 3 | 11/30/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 11/11/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Richard Adams | 1754705 | 2 | 10/23/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra Cabaniss | 2377356 | 1 | 04/04/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |