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 |
|---|---|---|---|---|---|---|---|---|
| Franco Dimaio | 2895690 | 1 | 08/09/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Steve Liddell | 1509609 | 1 | 08/02/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colleen Regina Schuhmann | 2729877 | 1 | 07/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael James Lundon | 2988875 | 1 | 06/08/2023 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Jason Erik Stephens | 3053046 | 4 | 06/08/2023 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Daisy A Feng | 3251105 | 1 | 05/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marisol Colomer | 4902919 | 1 | 05/14/2023 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Marc Edmond Haggar | 4146965 | 2 | 04/10/2023 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |