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 |
|---|---|---|---|---|---|---|---|---|
| Mark Ellis Gold | 223820 | 6 | 07/07/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Anthony Daly | 2771735 | 2 | 02/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 10/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Mitchell Mallah | 1713034 | 4 | 06/28/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William J Vanhoegarden | 824799 | 1 | 02/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |