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 |
|---|---|---|---|---|---|---|---|---|
| James C Kelly | 4362408 | 3 | 04/24/2020 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Jose Eduard Crescioni | 3032431 | 19 | 04/14/2020 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Kenneth James Wise | 1492642 | 2 | 04/03/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James C Kelly | 4362408 | 3 | 04/02/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Brian Gordon-Brown | 4628232 | 1 | 03/30/2020 | Customer Dispute | Settled | $286,582.00 | $0.00 | See FINRA Report |
| Ruse Brown | 5616413 | 1 | 03/30/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 03/27/2020 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Joshua Corry Breeden | 2669159 | 2 | 03/26/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose David Mendez Perez | 2945273 | 27 | 03/26/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Blair Cannon | 5772031 | 1 | 03/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |