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 |
|---|---|---|---|---|---|---|---|---|
| Susan L. Tunell | 4864833 | 2 | 04/16/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan L. Tunell | 4864833 | 2 | 04/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica D Oleo | 6540624 | 4 | 04/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Dawn McCrary | 2035429 | 3 | 04/09/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Mary Blackwell | 6020769 | 4 | 04/04/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Merica Lynn Chmait | 4317895 | 1 | 04/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Marie Greene | 2301783 | 5 | 03/05/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Pittz | 4231543 | 1 | 02/22/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |