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 |
|---|---|---|---|---|---|---|---|---|
| Eric Louis Snyder | 1049622 | 70 | 07/27/2018 | Customer Dispute | Withdrawn | $1,295,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 07/27/2018 | Customer Dispute | Withdrawn | $129,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 07/27/2018 | Customer Dispute | Withdrawn | $1,295,000.00 | $0.00 | See FINRA Report |
| Alan Gregory Shanken | 1322899 | 1 | 04/09/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 03/23/2018 | Customer Dispute | Withdrawn | $1,287,410.00 | $0.00 | See FINRA Report |
| James Marc Engel | 1937434 | 2 | 02/14/2018 | Customer Dispute | Withdrawn | $7,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Chaves | 1854754 | 72 | 06/26/2017 | Customer Dispute | Withdrawn | $2,000,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Chaves | 1854754 | 72 | 05/23/2017 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Miguel Angel Barbosa-MacHado | 2948473 | 2 | 03/22/2017 | Customer Dispute | Withdrawn | $20,000,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 05/16/2016 | Customer Dispute | Withdrawn | $236,816.00 | $0.00 | See FINRA Report |