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 |
|---|---|---|---|---|---|---|---|---|
| William Charles Stonhaus | 1031651 | 10 | 01/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Duane Charles Ohly | 2031535 | 3 | 10/03/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 10/07/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William A Grillo | 4844948 | 2 | 11/04/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Thomas Oneil | 1186926 | 3 | 10/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack W Barloon Jr | 1691105 | 1 | 10/25/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ralph Picascio | 1038768 | 1 | 06/17/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Howard Grabel | 1264873 | 6 | 04/23/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Edward Franklin | 734180 | 2 | 03/30/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott U Root | 1433366 | 3 | 01/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |