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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Charles Rosis | 6723029 | 1 | 12/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Westerman | 4690987 | 1 | 12/06/2022 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael McRae Dellinger | 4558550 | 4 | 11/03/2022 | Customer Dispute | Settled | $1,580,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 11/03/2022 | Customer Dispute | Settled | $1,580,000.00 | $0.00 | See FINRA Report |
| Michael McRae Dellinger | 4558550 | 4 | 10/26/2022 | Customer Dispute | Settled | $1,194,000.00 | $0.00 | See FINRA Report |
| Michael McRae Dellinger | 4558550 | 4 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,194,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Yoon Ji Park | 6787092 | 1 | 10/17/2022 | Customer Dispute | Settled | $511,000.00 | $0.00 | See FINRA Report |
| Allen G Carter Jr. | 1963914 | 2 | 09/06/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |