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 |
|---|---|---|---|---|---|---|---|---|
| Brian Thomas Corley | 2735235 | 2 | 07/27/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Andrew Peterson | 725631 | 1 | 06/02/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Federico Andres Lopez Juarbe | 4685974 | 25 | 08/20/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandre Martins Santos | 5245165 | 1 | 11/10/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David P Paul Sobocinski | 867645 | 5 | 02/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| 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 | 3 | 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 |