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 |
|---|---|---|---|---|---|---|---|---|
| James Nathaniel Parker | 4868729 | 2 | 06/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James S Coleman | 4424849 | 2 | 06/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edgar Henry Bachrach | 2840161 | 1 | 01/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paula Nogueira Best | 6077121 | 1 | 11/17/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kyle Ashley Frederickson | 4939832 | 1 | 10/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Howard Grabel | 1264873 | 6 | 09/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Anthony Netter | 2970557 | 2 | 03/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Anthony Netter | 2970557 | 2 | 02/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Gordon Kula | 2824586 | 1 | 01/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Murphy Carter | 2788604 | 1 | 11/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |