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 |
|---|---|---|---|---|---|---|---|---|
| Paul A Platek | 2941324 | 2 | 11/25/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 11/24/2020 | Customer Dispute | Settled | $1,421,570.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 11/24/2020 | Customer Dispute | Settled | $1,421,570.00 | $0.00 | See FINRA Report |
| Armani Miller | 6869458 | 1 | 11/18/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 11/03/2020 | Customer Dispute | Settled | $205,165.00 | $0.00 | See FINRA Report |
| Victor Miguel Tomassini | 2896586 | 45 | 11/03/2020 | Customer Dispute | Settled | $205,165.00 | $0.00 | See FINRA Report |
| Robert Joseph Donovan | 1005325 | 6 | 10/15/2020 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Frank Horace Moore | 1552208 | 1 | 10/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 10/01/2020 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Jose Eduard Crescioni | 3032431 | 19 | 10/01/2020 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |