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 |
|---|---|---|---|---|---|---|---|---|
| Clayton Parker Massey | 5420327 | 1 | 06/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Claude Sanchez | 2267889 | 2 | 06/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeannette Diana Shaw | 2556226 | 1 | 04/08/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David W Peeler | 5883442 | 4 | 02/05/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barbara Ann Shepherd | 2610067 | 2 | 09/14/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barbara Ann Shepherd | 2610067 | 2 | 04/13/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherrie Spitz | 4700291 | 2 | 12/19/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherrie Spitz | 4700291 | 2 | 12/19/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shakil Bejori | 4695210 | 1 | 01/06/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Josette G Pelle | 2247388 | 1 | 03/01/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |