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 Michael Wehrman | 2941329 | 4 | 03/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Angel Manuel Canabal | 2180310 | 36 | 03/04/2020 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Douglas John Domian | 5151950 | 2 | 03/03/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Angel Manuel Canabal | 2180310 | 36 | 02/25/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 02/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James C Kelly | 4362408 | 3 | 02/18/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Dominic Palmisano Jr | 5936731 | 1 | 02/11/2020 | Customer Dispute | Settled | $7,604.46 | $0.00 | See FINRA Report |
| Benjamin D Brown | 5906722 | 1 | 02/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Dejesuspou | 1746630 | 26 | 02/06/2020 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Jose Eduard Crescioni | 3032431 | 19 | 01/27/2020 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |