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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Charles Charles Kemp | 2850606 | 3 | 11/30/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Renee Michelle Fourcade | 1021348 | 2 | 08/05/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Erik Stephens | 3053046 | 4 | 07/27/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Charles Charles Kemp | 2850606 | 3 | 07/14/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Erik Stephens | 3053046 | 4 | 06/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mike Francis Smith | 1397389 | 1 | 01/12/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Robert Kadet | 2523660 | 2 | 12/15/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles David Medelberg | 1021432 | 3 | 06/10/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Burgess Ford | 1710753 | 11 | 03/06/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Diane P Nelson | 2617195 | 1 | 03/06/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |