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 F Sofranko | 4658914 | 1 | 12/13/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Barry Allen Schwartz | 1022377 | 3 | 12/05/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Frank Julio Carrasco | 2006959 | 2 | 12/01/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Ricardo Eboli-Kodesh | 4313868 | 15 | 11/28/2023 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 11/28/2023 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Daniel Anthony Violante | 6155002 | 1 | 11/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Sr.,James Hilton Sr | 1253959 | 2 | 10/23/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 09/07/2023 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Mark Steven Elias | 2938707 | 3 | 09/01/2023 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/28/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |