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 |
|---|---|---|---|---|---|---|---|---|
| Brian William Cox | 2776230 | 1 | 02/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/24/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 02/24/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/10/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 02/10/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey S Pacetti | 2169337 | 1 | 02/09/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Mark Lubell | 2449026 | 5 | 02/09/2022 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| William Word Huthnance | 4326519 | 6 | 02/08/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 02/08/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Dennis Stephen Oleszkowicz | 837970 | 5 | 02/02/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |