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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Adam Miller | 4251936 | 4 | 07/06/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kurt J Owen | 1201222 | 1 | 06/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Randall III | 1146676 | 2 | 05/27/2021 | Customer Dispute | Settled | $60,433.00 | $0.00 | See FINRA Report |
| Ryan A Lurie | 5013463 | 1 | 05/13/2021 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| David J Betz | 1336816 | 2 | 05/04/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 04/26/2021 | Customer Dispute | Settled | $949,000.00 | $0.00 | See FINRA Report |
| Robert A Anthony Elmo | 200601 | 1 | 04/15/2021 | Customer Dispute | Settled | $1,312,700.00 | $0.00 | See FINRA Report |
| Carl Alfred Donatello | 1123983 | 1 | 03/26/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Robert Sholtis | 1514318 | 3 | 03/26/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Jeremy Hall | 234314 | 3 | 03/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |