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 |
|---|---|---|---|---|---|---|---|---|
| Mark Roukas | 1313872 | 4 | 03/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Roukas | 1313872 | 4 | 12/21/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Michael Alecci | 2633 | 6 | 11/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mario Anthony Lepore | 3144673 | 4 | 10/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James S Coleman | 4424849 | 2 | 09/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Roukas | 1313872 | 4 | 09/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 02/24/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Haskin | 2572641 | 3 | 02/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Thomas Timko | 2483915 | 1 | 02/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamie Lee Olhiser | 7427228 | 1 | 02/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |