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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Jose Fortuno | 2323674 | 1 | 12/01/2023 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See FINRA Report |
| Richard Allan Gibbs | 4659304 | 1 | 05/23/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Alan Stiller | 2231566 | 2 | 03/27/2023 | Customer Dispute | Withdrawn | $20,800.00 | $0.00 | See FINRA Report |
| Gerard Joseph Costello | 1551511 | 3 | 10/11/2022 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 10/11/2022 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |
| Jeffrey Aaron Lapp | 2935503 | 1 | 01/28/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Douglas Madison Massey | 4740798 | 2 | 11/25/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 12/03/2019 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| James E Abernethy | 1821508 | 2 | 11/11/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kenneth J Shapiro | 4560098 | 3 | 10/22/2019 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |