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 |
|---|---|---|---|---|---|---|---|---|
| John Milne | 2552540 | 1 | 12/21/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Roukas | 1313872 | 4 | 12/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Haylie Michelle Kalinowski | 7590107 | 1 | 06/29/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 05/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 04/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Rashleigh | 1483453 | 1 | 03/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dermot P Bermingham | 3273363 | 2 | 12/07/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Michelle Orlando | 2688744 | 7 | 10/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maureen E Evans | 2880381 | 2 | 07/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tamaria Dee Mummert | 4177801 | 1 | 05/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |