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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Sarver Ritch | 2133013 | 2 | 12/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 10/02/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Allen Schwartz | 1022377 | 2 | 07/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher R Coram | 2945716 | 1 | 06/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Tanner | 6545683 | 1 | 02/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Joel Hynden | 5798511 | 1 | 10/17/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Marie Greene | 2301783 | 5 | 04/03/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Elizabeth Hayes | 2353476 | 1 | 03/05/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Cavender Stone | 4230468 | 2 | 06/06/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Walker | 2593110 | 2 | 05/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |