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 |
|---|---|---|---|---|---|---|---|---|
| Lisa A Rose | 2456093 | 1 | 10/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cherita Stokes | 4252678 | 1 | 05/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Edward McGovern | 1529321 | 5 | 04/03/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David W Peeler | 5883442 | 4 | 03/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carley Ann Nummer | 1792194 | 3 | 12/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David W Peeler | 5883442 | 4 | 10/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Carlo Ferrer | 4253103 | 8 | 10/10/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Claude Sanchez | 2267889 | 2 | 09/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Carlo Ferrer | 4253103 | 8 | 06/27/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Robert Devivio | 2374985 | 1 | 06/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |