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 |
|---|---|---|---|---|---|---|---|---|
| Alfred L Caliendo | 725272 | 2 | 09/25/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 08/21/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 05/04/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Cameron Seely | 1767104 | 1 | 04/29/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Lynn | 1516835 | 2 | 07/18/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 11/13/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay P Mechling | 1238949 | 4 | 08/24/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Rasweiler | 602403 | 5 | 04/16/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 04/09/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa R Long-Margolis | 1888825 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |