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 |
|---|---|---|---|---|---|---|---|---|
| Jess Donato Sansone | 7810715 | 8 | 12/29/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Horton McCampbell | 4490842 | 1 | 08/10/2016 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 09/22/2015 | Customer Dispute | Pending | $1,164,520.00 | $0.00 | See FINRA Report |
| Annmarie Becci | 2889517 | 5 | 08/31/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Annmarie Becci | 2889517 | 5 | 07/22/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 11/26/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 08/19/2014 | Customer Dispute | Pending | $2,946,280.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 07/07/2014 | Customer Dispute | Pending | $1,289,140.00 | $0.00 | See FINRA Report |
| Carlos Ortiz | 1406315 | 1 | 10/10/2012 | Customer Dispute | Pending | $10,000,000.00 | $0.00 | See FINRA Report |
| Oliver Morgan Hall | 2110287 | 1 | 01/12/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |