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 |
|---|---|---|---|---|---|---|---|---|
| Katsiaryna Dinar | 5800579 | 7 | 04/13/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shelley Renee Armijo | 5000687 | 2 | 03/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Philip Luis | 7646609 | 1 | 11/09/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Raiatea Michelle Convery | 7542909 | 1 | 08/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victoria Elizabeth Snider | 5671225 | 2 | 04/28/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 11/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher Stute Wright | 7131638 | 1 | 09/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 07/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katsiaryna Dinar | 5800579 | 7 | 06/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malika White | 6265468 | 2 | 06/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |