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 |
---|---|---|---|---|---|---|---|---|
John Jay Marvin | 1313737 | 4 | 02/13/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Louis Anthony Sforza | 1309377 | 4 | 02/12/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Robert Paul Goldstein | 1349953 | 5 | 02/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Randall Guy Colombo | 814115 | 1 | 12/05/1990 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
Mark Robert Serruto | 1197683 | 3 | 09/17/1990 | Customer Dispute | Settled | $18,340.00 | $0.00 | See FINRA Report |
Jonathan Joseph Galli | 1172192 | 2 | 09/13/1990 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
Jorge L Lopez-Balboa | 312625 | 2 | 09/01/1990 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
Debra Ann Bushman | 870056 | 4 | 08/28/1990 | Customer Dispute | Settled | $141,000.00 | $0.00 | See FINRA Report |
Robert Paul Goldstein | 1349953 | 5 | 08/07/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
Frances Kay Huffman | 728636 | 2 | 08/01/1990 | Customer Dispute | Settled | $11,950.00 | $0.00 | See FINRA Report |