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 |
|---|---|---|---|---|---|---|---|---|
| Gerard Joseph Costello | 1551511 | 10 | 12/10/2021 | Customer Dispute | Pending | $1,200,000,000.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 12/10/2021 | Customer Dispute | Pending | $1,200,000,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 12/10/2021 | Customer Dispute | Pending | $1,200,000,000.00 | $0.00 | See FINRA Report |
| Bryce Christopher Herman | 4306276 | 2 | 12/03/2021 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey William Hackett | 2575374 | 2 | 12/03/2021 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Anthony Patrick Brookfield | 2207841 | 4 | 11/15/2021 | Customer Dispute | Pending | $7,000,000.00 | $0.00 | See FINRA Report |
| Joanne Y Zhong | 5005971 | 1 | 11/15/2021 | Customer Dispute | Pending | $7,000,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 10/12/2021 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Edgar Devendel Hull | 5389950 | 1 | 10/05/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Frank Frederick Baldwin | 1415901 | 1 | 10/04/2021 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |