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 |
|---|---|---|---|---|---|---|---|---|
| Sonia Maria Attkiss | 2936806 | 14 | 06/06/2019 | Customer Dispute | Withdrawn | $6,000,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 06/06/2019 | Customer Dispute | Withdrawn | $6,000,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 06/03/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nicholas Brine Finn | 2295090 | 3 | 05/14/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 04/08/2019 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See FINRA Report |
| Brant Christopher Ferguson | 2230893 | 1 | 03/08/2019 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See FINRA Report |
| Angel Manuel Canabal | 2180310 | 68 | 12/12/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 10/29/2018 | Customer Dispute | Withdrawn | $410,000.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 10/22/2018 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/22/2018 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |