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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Stern Buchsbaum | 2220565 | 34 | 08/31/2022 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Mitchell Riesenberger | 2990475 | 1 | 08/31/2022 | Customer Dispute | Settled | $620,000.00 | $0.00 | See FINRA Report |
| Cristobal Flanagan Margozzini | 6706119 | 1 | 08/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rebecca Maduska Fitschen | 4144349 | 1 | 07/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aileen Farrell Schruth | 4805869 | 1 | 07/13/2022 | Customer Dispute | Settled | $301,884.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/11/2022 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Christopher George | 2618582 | 2 | 05/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Richard French | 2042665 | 1 | 03/30/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Depaula | 1689481 | 4 | 03/03/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Depaula | 1689481 | 4 | 03/03/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |