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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Robert Black | 2186558 | 7 | 02/10/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/10/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jesse G. Fable | 4806941 | 1 | 02/09/2022 | Customer Dispute | Pending | $41,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 02/08/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/08/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Dennis Stephen Oleszkowicz | 837970 | 5 | 02/02/2022 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 12/27/2021 | Customer Dispute | Pending | $8,000,000.00 | $0.00 | See FINRA Report |
| Benjamin John Walker | 4980276 | 1 | 12/27/2021 | Customer Dispute | Pending | $8,000,000.00 | $0.00 | See FINRA Report |
| Roger Wacker | 3265519 | 2 | 12/14/2021 | Customer Dispute | Pending | $400,000,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 12/10/2021 | Customer Dispute | Pending | $1,200,000,000.00 | $0.00 | See FINRA Report |