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 |
|---|---|---|---|---|---|---|---|---|
| Michael McRae Dellinger | 4558550 | 4 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,194,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Howard L Woo | 4606756 | 1 | 10/21/2022 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Peter Lloyd Rukeyser | 2500523 | 1 | 10/19/2022 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Yoon Ji Park | 6787092 | 1 | 10/17/2022 | Customer Dispute | Settled | $511,000.00 | $0.00 | See FINRA Report |
| Michael Harvey Hamilton | 2263524 | 3 | 09/23/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Elias | 2938707 | 3 | 09/16/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Allen G Carter Jr | 1963914 | 2 | 09/06/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Jack Ryan Riley | 4306836 | 3 | 09/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |