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FINRA Broker Disclosures for UBS Financial Services Inc.

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.

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Displaying 2,391-2,400 out of 2,478 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
John Jay Marvin1313737402/13/1991Customer DisputeSettled$0.00$0.00See FINRA Report
Louis Anthony Sforza1309377402/12/1991Customer DisputeSettled$0.00$0.00See FINRA Report
Robert Paul Goldstein1349953502/01/1991Customer DisputeSettled$0.00$0.00See FINRA Report
Randall Guy Colombo814115112/05/1990Customer DisputeSettled$22,000.00$0.00See FINRA Report
Mark Robert Serruto1197683309/17/1990Customer DisputeSettled$18,340.00$0.00See FINRA Report
Jonathan Joseph Galli1172192209/13/1990Customer DisputeSettled$45,000.00$0.00See FINRA Report
Jorge L Lopez-Balboa312625209/01/1990Customer DisputeSettled$2,000,000.00$0.00See FINRA Report
Debra Ann Bushman870056408/28/1990Customer DisputeSettled$141,000.00$0.00See FINRA Report
Robert Paul Goldstein1349953508/07/1990Customer DisputeSettled$50,000.00$0.00See FINRA Report
Frances Kay Huffman728636208/01/1990Customer DisputeSettled$11,950.00$0.00See FINRA Report

2,478 Results

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