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 |
|---|---|---|---|---|---|---|---|---|
| Donald J Joseph Mahoney | 1233362 | 2 | 01/04/2022 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Laurel Simon Bobrowich | 707915 | 2 | 11/15/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Patrick Brookfield | 2207841 | 4 | 11/15/2021 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Joanne Y Zhong | 5005971 | 1 | 11/15/2021 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 10/18/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 10/12/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Edgar Devendel Hull | 5389950 | 1 | 10/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sumaya de los Angeles Musa | 2112063 | 18 | 09/02/2021 | Customer Dispute | Settled | $71,000.00 | $0.00 | See FINRA Report |
| William Daniel Brown | 6521446 | 1 | 07/28/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Oliver Evan Owens | 1349900 | 1 | 07/07/2021 | Customer Dispute | Settled | $2,621,500.00 | $0.00 | See FINRA Report |