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 |
|---|---|---|---|---|---|---|---|---|
| Cray Randal Martin | 2367991 | 1 | 09/30/2002 | Customer Dispute | Withdrawn | $27,821.00 | $0.00 | See FINRA Report |
| Barry Neil Goldstein | 1020317 | 1 | 09/10/2002 | Customer Dispute | Withdrawn | $53,005.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 08/19/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph Jerome Schirripa | 813240 | 6 | 05/29/2002 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Robert James Coussens | 1715821 | 3 | 04/19/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Allan Dean Yarkin | 809579 | 6 | 08/23/2001 | Customer Dispute | Withdrawn | $277,000.00 | $0.00 | See FINRA Report |
| Eric Andrew Wittenberg | 1552330 | 4 | 01/11/2001 | Customer Dispute | Withdrawn | $265,000.00 | $0.00 | See FINRA Report |
| Joseph P Matina | 2409366 | 5 | 12/06/2000 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Timothy Alan Dod | 1808222 | 1 | 10/27/2000 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Bromberg | 2586900 | 4 | 09/08/2000 | Customer Dispute | Withdrawn | $10,020.00 | $0.00 | See FINRA Report |