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 |
|---|---|---|---|---|---|---|---|---|
| Timothy van Simaeys | 1811128 | 2 | 12/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 09/12/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Orenstein | 732486 | 5 | 09/08/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Alan Bellak | 710911 | 5 | 05/12/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darrell Scott Rosenthal | 1702839 | 2 | 08/13/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy van Simaeys | 1811128 | 2 | 12/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Ray Woolhiser | 705319 | 1 | 06/19/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Wayne Tolman | 2066775 | 3 | 07/22/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Harriet Willens | 1305503 | 2 | 04/10/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Lawrence Sullivan | 846327 | 2 | 03/17/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |