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 |
|---|---|---|---|---|---|---|---|---|
| Jill Michelle Orlando | 2688744 | 7 | 04/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim M Ducharme | 1373374 | 1 | 03/03/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Enrique Hoyos | 2196551 | 2 | 01/02/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maureen E Evans | 2880381 | 2 | 10/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dermot P Bermingham | 3273363 | 2 | 10/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Albert Edwin Schombs | 3157745 | 2 | 09/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David W Peeler | 5883442 | 4 | 09/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julianne Przeszlo | 1703080 | 1 | 04/24/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Christopher Sobers | 4749519 | 1 | 01/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Toby Dale Pullig | 4213176 | 1 | 12/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |