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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Steuerman | 5084137 | 6 | 05/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua Steuerman | 5084137 | 6 | 05/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 6 | 03/25/2020 | Customer Dispute | Pending | $1,200,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 03/25/2020 | Customer Dispute | Pending | $1,200,000.00 | $0.00 | See FINRA Report |
| James Arthur Nichols | 5074977 | 1 | 08/02/2019 | Customer Dispute | Pending | $7,500,000.00 | $0.00 | See FINRA Report |
| Kathy W Dixon | 2635721 | 1 | 04/30/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jess Donato Sansone | 7810715 | 8 | 03/01/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Wiesenfeld | 1585000 | 2 | 04/23/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Rebecca Elder | 1373492 | 1 | 11/08/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 08/28/2017 | Customer Dispute | Pending | $3,500,000.00 | $0.00 | See FINRA Report |