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 |
|---|---|---|---|---|---|---|---|---|
| Ruben Guerrero | 4650462 | 1 | 03/23/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| John Jay Marvin | 1313737 | 4 | 03/26/2004 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Parson Marshall | 1280980 | 3 | 07/29/2003 | Customer Dispute | Pending | $31,499.80 | $0.00 | See FINRA Report |
| Leonard J Bowlby | 2480556 | 2 | 01/14/2003 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 12/06/2002 | Customer Dispute | Pending | $5,677.40 | $0.00 | See FINRA Report |
| Stephen Barry Egbert | 76077 | 2 | 01/03/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Phillip Schilling | 1072399 | 3 | 04/06/2001 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Howard Lyle Abrams | 2170883 | 1 | 05/19/2000 | Customer Dispute | Pending | $35,000.00 | $0.00 | See FINRA Report |
| Gary Evan Tantleff | 1753869 | 1 | 01/19/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 11/16/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |