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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Michael McGill | 3212208 | 1 | 02/21/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mauricio Jose Alvarez | 3052838 | 1 | 06/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Messinger | 1234161 | 7 | 06/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ellis Gold | 223820 | 6 | 05/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie A Engelking | 3120784 | 3 | 02/06/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Torrico | 1666636 | 3 | 10/21/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elena Laura Bianchi | 1675129 | 4 | 10/08/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Corley | 2735235 | 2 | 03/22/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Alexander Dzikowski | 2105393 | 4 | 02/23/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles F Smithers | 864864 | 1 | 01/19/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |