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 |
|---|---|---|---|---|---|---|---|---|
| Feng Jin | 6518018 | 1 | 10/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Haydee M Delgado | 1619094 | 2 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Fidel Francisco Trejo | 1251352 | 3 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Aishka O Lugo | 4419998 | 22 | 10/12/2023 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Steven Karl Kocher | 1787735 | 1 | 10/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Arthur Schwarz | 416535 | 4 | 09/12/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 6 | 08/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Hardy | 2772949 | 1 | 08/25/2023 | Customer Dispute | Settled | $11,053.00 | $0.00 | See FINRA Report |
| Donald J Dever | 5317492 | 2 | 08/22/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Raymond Samuel Byers | 2590926 | 2 | 08/22/2023 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |