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 |
|---|---|---|---|---|---|---|---|---|
| Suzanne Marie Frazier | 2820619 | 1 | 01/05/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keegan James Mistry | 5568819 | 1 | 11/12/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Franco Ariel Sciamarelli | 5715205 | 1 | 12/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryant Julio Diaz | 4635220 | 1 | 07/29/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Joseph Habig | 2376935 | 1 | 07/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cindy Ellen Farber | 4886324 | 1 | 06/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Flippo | 5535853 | 1 | 05/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James C Williams | 5886166 | 1 | 12/22/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derek C Smith | 6227684 | 1 | 08/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Madison Massey | 4740798 | 2 | 06/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |