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 |
|---|---|---|---|---|---|---|---|---|
| James Donnell Klein | 271405 | 3 | 09/15/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 05/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Jerome Bloom | 827097 | 2 | 01/27/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge L Lopez-Balboa | 312625 | 2 | 11/20/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Rasweiler | 602403 | 5 | 01/11/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Rasweiler | 602403 | 5 | 01/01/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Daniel Spina | 432195 | 5 | 08/23/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |