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 |
|---|---|---|---|---|---|---|---|---|
| Doel Rafael Garciaromero | 1301785 | 95 | 10/18/2018 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 10/18/2018 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/15/2018 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/15/2018 | Customer Dispute | Withdrawn | $1,080,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/15/2018 | Customer Dispute | Withdrawn | $420,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 10/15/2018 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 10/15/2018 | Customer Dispute | Withdrawn | $1,080,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 10/15/2018 | Customer Dispute | Withdrawn | $420,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/08/2018 | Customer Dispute | Withdrawn | $160,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 10/08/2018 | Customer Dispute | Withdrawn | $275,000.00 | $0.00 | See FINRA Report |