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 |
|---|---|---|---|---|---|---|---|---|
| Frederick M Long | 2518380 | 2 | 03/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Frederick Thoms | 2182266 | 3 | 03/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew M Mbaya | 4478616 | 2 | 02/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Odette C Sanchez | 4209457 | 1 | 02/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Demetrio Henry Kerrison | 1250542 | 5 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Demetrio Henry Kerrison | 1250542 | 5 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Demetrio Henry Kerrison | 1250542 | 5 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew M Mbaya | 4478616 | 2 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Annmarie Becci | 2889517 | 5 | 12/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Annmarie Becci | 2889517 | 5 | 12/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |