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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Ann McDougall | 1271602 | 1 | 09/16/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Merians | 2947044 | 2 | 07/24/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robin Patricia Allen | 872945 | 2 | 04/15/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Thomas Oneil | 1186926 | 3 | 02/23/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Logan McCrimlisk | 1000764 | 1 | 11/21/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Pius Stanton | 1380832 | 3 | 09/20/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Arnold Swanson | 1236503 | 3 | 09/27/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Ryan Gabrielson | 1547833 | 4 | 08/22/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheila Sue Dixon | 1566135 | 1 | 03/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William A Bass | 1350322 | 1 | 12/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |