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 |
|---|---|---|---|---|---|---|---|---|
| David I Ivanovitch Obolensky | 860137 | 1 | 06/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Franklin Jerome Laden | 4428366 | 1 | 06/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Mark Rogers | 3094973 | 1 | 05/22/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| William Burton Shreve | 852878 | 3 | 05/13/2020 | Customer Dispute | Settled | $234,448.00 | $0.00 | See FINRA Report |
| Mark Andrew Redden | 2574513 | 3 | 05/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 04/30/2020 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 04/30/2020 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Vicente Antonio Del Rio | 5820218 | 1 | 04/28/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| John Seiberling Fulton | 2481439 | 4 | 04/28/2020 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Miguel A Hernandez | 815453 | 27 | 04/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |