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 |
|---|---|---|---|---|---|---|---|---|
| Lisa A Lucas | 4337346 | 1 | 06/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolann Hammond | 2194523 | 1 | 05/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Steuerman | 5084137 | 6 | 05/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua Steuerman | 5084137 | 6 | 05/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Eduardo Cruz | 5817044 | 1 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derar Suleiman Damra | 6870460 | 5 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Steuerman | 5084137 | 6 | 01/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Arturo Pou | 2096091 | 3 | 12/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marianne H Minio | 2403438 | 1 | 10/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yu Zhang | 7054978 | 1 | 10/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |