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 |
|---|---|---|---|---|---|---|---|---|
| Lyle Edward Moss | 857277 | 1 | 02/07/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Agnant Larosiliere | 2485836 | 1 | 10/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 06/07/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Bowes | 27336 | 2 | 02/10/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Rotsky | 1804854 | 2 | 12/22/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick Hart | 1449332 | 2 | 09/19/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 09/25/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 09/01/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Michael Mann | 1487935 | 8 | 04/05/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 10/19/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |