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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Aaron Lapp | 2935503 | 1 | 01/28/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David H. Howard Savetz | 2425341 | 2 | 06/07/2021 | Customer Dispute | Withdrawn | $271,008.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 03/09/2021 | Customer Dispute | Withdrawn | $575,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 11/25/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Douglas Madison Massey | 4740798 | 2 | 11/25/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 09/08/2020 | Customer Dispute | Withdrawn | $1,700,000.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 08/06/2020 | Customer Dispute | Withdrawn | $600,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 01/07/2020 | Customer Dispute | Withdrawn | $160,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 12/03/2019 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 12/03/2019 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |