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 |
|---|---|---|---|---|---|---|---|---|
| William Burton Shreve | 852878 | 3 | 12/01/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kim Ray Sheets | 1284913 | 1 | 10/05/1989 | Customer Dispute | Settled | $36,764.40 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 06/26/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Joseph Croak | 840899 | 4 | 05/31/1989 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Timothy Parson Marshall | 1280980 | 3 | 01/18/1989 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Timothy Odonnell Cornell | 837619 | 2 | 01/13/1989 | Customer Dispute | Settled | $197,744.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 11/18/1988 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Scott Richard Ayres | 1425721 | 2 | 11/09/1988 | Customer Dispute | Settled | $33,207.90 | $0.00 | See FINRA Report |
| Timothy Odonnell Cornell | 837619 | 2 | 08/26/1988 | Customer Dispute | Settled | $5,150,000.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 08/19/1988 | Customer Dispute | Settled | $56,874.10 | $0.00 | See FINRA Report |