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 |
|---|---|---|---|---|---|---|---|---|
| Toria Scotto | 4778359 | 2 | 11/30/2022 | Customer Dispute | Pending | $817,890.00 | $0.00 | See FINRA Report |
| Daniel James Egbert | 3126238 | 2 | 11/30/2022 | Customer Dispute | Pending | $817,890.00 | $0.00 | See FINRA Report |
| Monda Degan Hanna | 1173486 | 1 | 11/18/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Howard L Woo | 4606756 | 1 | 10/21/2022 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Peter Lloyd Rukeyser | 2500523 | 2 | 10/19/2022 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Lee Evan Gleeman | 1366954 | 3 | 10/19/2022 | Customer Dispute | Pending | $65,000.00 | $0.00 | See FINRA Report |
| Gerard Joseph Costello | 1551511 | 10 | 10/11/2022 | Customer Dispute | Pending | $900,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 10/11/2022 | Customer Dispute | Pending | $900,000.00 | $0.00 | See FINRA Report |
| Edward Michael Brennan | 2121919 | 1 | 10/07/2022 | Customer Dispute | Pending | $37,755.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 86 | 10/06/2022 | Customer Dispute | Pending | $214,000.00 | $0.00 | See FINRA Report |