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 |
|---|---|---|---|---|---|---|---|---|
| Stephen M Dohler | 3278174 | 1 | 05/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Patrick Casey | 6077387 | 1 | 04/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mario Anthony Lepore | 3144673 | 4 | 01/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luis Garcia | 5199113 | 1 | 07/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cedric McClain | 7634685 | 1 | 06/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shelley Renee Armijo | 5000687 | 2 | 03/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carley Ann Nummer | 1792194 | 3 | 12/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christine A Mulkerrin | 4727782 | 1 | 10/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Albert Edwin Schombs | 3157745 | 2 | 09/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vincent Vitale | 6267310 | 2 | 06/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |