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 |
---|---|---|---|---|---|---|---|---|
Warren Douglas McPeters | 1200213 | 2 | 05/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
John Anthony Posey | 2150733 | 1 | 02/24/2022 | 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 |
Paul Steven Wishingrad | 1311357 | 2 | 01/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
James Dee Carlson | 4134811 | 1 | 01/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Steven Charles Waggoner | 2159634 | 1 | 06/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Christopher James Conroy | 1481945 | 4 | 11/28/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |