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 |
|---|---|---|---|---|---|---|---|---|
| Owen Joseph Galasso | 4047721 | 3 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mario Anthony Lepore | 3144673 | 4 | 05/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Knight Blanchard | 1351874 | 1 | 04/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Owen Joseph Galasso | 4047721 | 3 | 03/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 03/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Irma Bedoya | 3138345 | 1 | 03/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 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 | |
| Joseph Roberts Jr | 4101560 | 1 | 10/14/2021 | 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 |