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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Vitale | 6267310 | 2 | 10/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Melissa Castro | 4174970 | 3 | 07/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jess Donato Sansone | 7810715 | 8 | 04/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mercedes Patricia Gardner-Gomez | 4488106 | 1 | 03/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Judi Washington | 4870305 | 3 | 03/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mario Anthony Lepore | 3144673 | 4 | 11/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carley Ann Nummer | 1792194 | 3 | 10/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald T Hill | 3163186 | 2 | 10/02/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Judith Leigh Seaver | 1742611 | 3 | 09/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Melissa Castro | 4174970 | 3 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |