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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| John Anthony Posey | 2150733 | 9 | 02/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Denecker | 1065784 | 3 | 08/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Anthony Daly | 2771735 | 2 | 08/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Stephen Costas | 1759628 | 2 | 07/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Jay Marvin | 1313737 | 4 | 07/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Blake Mintz | 4783179 | 3 | 07/11/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Blake Mintz | 4783179 | 3 | 03/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |