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 |
|---|---|---|---|---|---|---|---|---|
| Deron Scott Coleman | 2387985 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James E Abernethy | 1821508 | 2 | 03/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jenna Katherine Vokes | 6452276 | 1 | 02/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Demetrio Henry Kerrison | 1250542 | 5 | 01/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Allen Penn | 7179555 | 1 | 01/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diane Irmgard Aka-Bashorun | 4443051 | 2 | 01/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diane Irmgard Aka-Bashorun | 4443051 | 2 | 01/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 12/29/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kim Marie Bowden | 1224784 | 1 | 09/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nydia Mirella Vazquez | 4554341 | 1 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |