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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Livaccari | 2376606 | 3 | 10/22/2019 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Joseph M Haigler | 873385 | 8 | 09/20/2019 | Customer Dispute | Withdrawn | $110,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 09/20/2019 | Customer Dispute | Withdrawn | $110,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 09/20/2019 | Customer Dispute | Withdrawn | $110,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/08/2019 | Customer Dispute | Withdrawn | $770,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 04/08/2019 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 10/29/2018 | Customer Dispute | Withdrawn | $410,000.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 10/22/2018 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/22/2018 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 10/22/2018 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |