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 |
|---|---|---|---|---|---|---|---|---|
| Paul Edward Johnson | 259996 | 1 | 09/20/1999 | Customer Dispute | Withdrawn | $33,000.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 11/20/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jonathan Joseph Galli | 1172192 | 2 | 10/20/1997 | Customer Dispute | Withdrawn | $95,503.00 | $0.00 | See FINRA Report |