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 |
|---|---|---|---|---|---|---|---|---|
| Justin Gromley | 5333019 | 1 | 07/23/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael S Wetrich | 2842343 | 2 | 05/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Elliot Goldman | 2285731 | 2 | 04/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hallie Page Lee | 5706622 | 1 | 02/13/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Glen Levy | 1049051 | 2 | 07/10/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr.,John Marmion Jr | 1139175 | 2 | 06/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Doherty | 2386939 | 2 | 12/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Joseph Cahill | 1487974 | 5 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Richard Balter | 11622 | 2 | 07/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Wendell | 6862319 | 1 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |