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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth James Wise | 1492642 | 2 | 08/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ray Larry Burns | 1571741 | 2 | 07/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roderick K von Lipsey | 4270444 | 4 | 07/22/2020 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Karleen Madeleine Halliwell | 2581701 | 1 | 07/21/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Eduardo Gonzalez | 858618 | 21 | 07/20/2020 | Customer Dispute | Settled | $415,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Rubin | 3124047 | 1 | 06/25/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 06/15/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 06/15/2020 | Customer Dispute | Settled | $16,000,000.00 | $0.00 | See FINRA Report |
| Charles David Lawson | 5452641 | 3 | 06/15/2020 | Customer Dispute | Settled | $6,714.61 | $0.00 | See FINRA Report |
| Frederick M Long | 2518380 | 2 | 06/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |