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 |
|---|---|---|---|---|---|---|---|---|
| Steven Paul Cox | 5223902 | 1 | 08/07/2024 | Customer Dispute | Settled | $79,331.90 | $0.00 | See FINRA Report |
| Brannon James Johnson | 6368846 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Verne Beukelman | 2633169 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey K Johnson | 4769233 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kieran Sean Varga | 7560210 | 1 | 07/01/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin Joseph Segal | 1727969 | 1 | 06/18/2024 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Frank Samuel Walter | 5685573 | 1 | 06/06/2024 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Daniel Bart Silverberg | 1576956 | 2 | 05/14/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arnold I Irwin Alpert | 3919 | 3 | 05/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Deborah Anne Jackman | 2799705 | 1 | 02/29/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |