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 |
|---|---|---|---|---|---|---|---|---|
| Jill Michelle Orlando | 2688744 | 6 | 03/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michelle D Rogers | 5630577 | 1 | 02/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Corley | 2735235 | 3 | 02/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen Marie Greene | 2301783 | 5 | 11/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Roberts Jr. | 4101560 | 1 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Jeffrey Grueninger | 3031348 | 1 | 10/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Melissa Castro | 4174970 | 3 | 10/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Nathaniel Parker | 4868729 | 2 | 06/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James S Coleman | 4424849 | 1 | 06/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Fitzgerald Crampton | 2197780 | 2 | 03/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |