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 |
|---|---|---|---|---|---|---|---|---|
| Robert B Wright | 874400 | 2 | 07/26/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elaina S Spilove | 873854 | 2 | 04/26/1990 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Lawrence J John Hayes | 240540 | 2 | 04/23/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 03/27/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Roger F Francis Vierra | 1400401 | 4 | 03/21/1990 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 03/15/1990 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Curtis C Charles Brown | 1087724 | 2 | 03/15/1990 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Jose Joaquin Rodriguez-Villalobos | 1170207 | 4 | 01/19/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ernest V Moncrieff | 1001250 | 3 | 01/01/1990 | Customer Dispute | Settled | $230,127.00 | $0.00 | See FINRA Report |
| Silvana Emanuela Danna | 702626 | 3 | 01/01/1990 | Customer Dispute | Settled | $52,888.00 | $0.00 | See FINRA Report |