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 |
|---|---|---|---|---|---|---|---|---|
| Joseph P Katzaroff | 1811119 | 4 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| John Howard Saunders | 870131 | 6 | 05/11/2023 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Meghan Taylor Orourke | 7544295 | 1 | 05/04/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ernie Walter Kloock | 3114944 | 2 | 05/02/2023 | Customer Dispute | Pending | $206,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 01/10/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Kevin E Wesner | 2827165 | 2 | 12/13/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Jonathan Philip Luis | 7646609 | 1 | 11/09/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Victoria Elizabeth Snider | 5671225 | 2 | 04/28/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Roger Wacker | 3265519 | 2 | 12/14/2021 | Customer Dispute | Pending | $400,000,000.00 | $0.00 | See FINRA Report |
| Andrew D Burish | 1111163 | 2 | 02/23/2021 | Customer Dispute | Pending | $23,085,900.00 | $0.00 | See FINRA Report |