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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Edward Zalcman | 475695 | 3 | 07/29/1991 | Customer Dispute | Settled | $21,600.00 | $0.00 | See FINRA Report |
| Debra Ann Bushman | 870056 | 4 | 07/12/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge M Miguel Pelegrina | 704068 | 21 | 06/10/1991 | Customer Dispute | Settled | $450,802.00 | $0.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 05/23/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael van Doubleday | 1412594 | 2 | 05/17/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 04/30/1991 | Customer Dispute | Settled | $294,000.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 03/21/1991 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 03/01/1991 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 02/22/1991 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Bradley Frederickson | 1400589 | 1 | 02/15/1991 | Customer Dispute | Settled | $7,939.97 | $0.00 | See FINRA Report |