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 |
|---|---|---|---|---|---|---|---|---|
| Leonard George Gabbidon | 5385344 | 2 | 06/14/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leonard George Gabbidon | 5385344 | 2 | 01/23/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Kent | 4385339 | 1 | 01/01/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Howard Grabel | 1264873 | 6 | 03/08/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Ben Ellins | 5707816 | 1 | 01/18/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Farkas | 2455977 | 2 | 11/28/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John L Swasey Jr | 440951 | 1 | 08/24/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas John Cavanaugh | 2335829 | 2 | 04/01/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |