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 |
|---|---|---|---|---|---|---|---|---|
| Jorge M Miguel Pelegrina | 704068 | 21 | 06/01/1992 | Customer Dispute | Settled | $20,621.70 | $0.00 | See FINRA Report |
| Richard D David Rogers | 1403179 | 2 | 05/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 05/26/1992 | Customer Dispute | Settled | $14,426.40 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 05/26/1992 | Customer Dispute | Settled | $15,589.40 | $0.00 | See FINRA Report |
| Bradley William Zilbersher | 1226699 | 4 | 05/01/1992 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Matthew K Tompkins | 1459996 | 2 | 03/11/1992 | Customer Dispute | Settled | $174,000.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 02/29/1992 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Barry Thomas Oneil | 1186926 | 3 | 02/13/1992 | Customer Dispute | Settled | $486,203.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 02/12/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 02/10/1992 | Customer Dispute | Settled | $11,619.50 | $0.00 | See FINRA Report |