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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Patrick Holland | 248584 | 2 | 05/10/1993 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 05/01/1993 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Stephen P McDonald | 1713143 | 4 | 04/18/1993 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Joseph Rongaus | 1343727 | 1 | 03/01/1993 | Customer Dispute | Settled | $224,014.00 | $0.00 | See FINRA Report |
| Dwight Clyde West | 463778 | 6 | 02/26/1993 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |
| Charles David Medelberg | 1021432 | 3 | 02/19/1993 | Customer Dispute | Settled | $85,366.00 | $0.00 | See FINRA Report |
| Keith Arnold Swanson | 1236503 | 3 | 01/19/1993 | Customer Dispute | Settled | $32,427.50 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 01/18/1993 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Patricia Hall Sayyah | 860114 | 1 | 01/13/1993 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Douglas Wayne Tenny | 1398025 | 2 | 12/15/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |