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 |
|---|---|---|---|---|---|---|---|---|
| John Anthony Cirocco | 1009930 | 1 | 11/09/1998 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Mark Ellis Gold | 223820 | 6 | 10/09/1998 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| Harold John Lesage | 601321 | 1 | 08/28/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Sheinheit | 1512493 | 4 | 03/03/1998 | Customer Dispute | Pending | $500,000.00 | $140,000.00 | See FINRA Report |
| Kenneth Edward Zalcman | 475695 | 3 | 01/27/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Kalodner | 1399718 | 2 | 04/03/1995 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Owen Henry Dugan | 1450491 | 2 | 07/25/1994 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |