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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Barrera Villar | 4497494 | 1 | 07/27/2022 | Customer Dispute | Pending | $1,200,000.00 | $0.00 | See FINRA Report |
| Rebecca Maduska Fitschen | 4144349 | 1 | 07/22/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 07/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 07/11/2022 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Alexander Houghton Phillips | 1730948 | 3 | 07/11/2022 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Jordan Christopher Hayes | 2391254 | 1 | 07/11/2022 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| William Thomas Baffuto | 7205964 | 1 | 04/20/2022 | Customer Dispute | Pending | $15,412.00 | $0.00 | See FINRA Report |
| Daryl McKean Allen | 5744346 | 1 | 03/23/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 02/24/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/24/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |