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 |
|---|---|---|---|---|---|---|---|---|
| Chris Wyatt Billingsley | 2947603 | 4 | 03/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Allen Foster | 1532735 | 4 | 03/20/2020 | Customer Dispute | Settled | $575,000.00 | $0.00 | See FINRA Report |
| Alexander Houghton Phillips | 1730948 | 2 | 03/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Eric Hyldahl | 2316936 | 3 | 03/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Derek Adam Vance | 5067949 | 1 | 03/18/2020 | Customer Dispute | Settled | $8,081.23 | $0.00 | See FINRA Report |
| Gary Craig Vance | 2108947 | 1 | 03/18/2020 | Customer Dispute | Settled | $8,081.23 | $0.00 | See FINRA Report |
| Stuart Edward Sierer | 423614 | 3 | 03/18/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Jose David Mendez Perez | 2945273 | 27 | 03/17/2020 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Garth Allan | 5294782 | 1 | 03/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sherry Rowland | 5205740 | 1 | 03/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |