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 George Catanella | 43254 | 15 | 12/01/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 11/10/1987 | Customer Dispute | Settled | $562,418.00 | $0.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 10/27/1987 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Richard Eldon Hamrick | 865179 | 2 | 09/08/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 08/07/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Stephen Oleszkowicz | 837970 | 5 | 08/01/1987 | Customer Dispute | Settled | $317,240.00 | $0.00 | See FINRA Report |
| Melinda Joyce Abood | 867463 | 5 | 07/29/1987 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |
| John Mark Rinker | 1223235 | 3 | 07/28/1987 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Timothy William Tunney | 1032749 | 4 | 06/26/1987 | Customer Dispute | Settled | $240,750.00 | $0.00 | See FINRA Report |
| Charles Harold Cooper | 1001588 | 3 | 06/01/1987 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |