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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 04/27/2015 | Customer Dispute | Withdrawn | $299,859.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 04/08/2015 | Customer Dispute | Withdrawn | $512,300.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 04/08/2015 | Customer Dispute | Withdrawn | $512,300.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 03/25/2015 | Customer Dispute | Withdrawn | $2,906,290.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 03/25/2015 | Customer Dispute | Withdrawn | $2,906,290.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 03/24/2015 | Customer Dispute | Withdrawn | $1,109,120.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 03/24/2015 | Customer Dispute | Withdrawn | $1,109,120.00 | $0.00 | See FINRA Report |
| Eric Louis Snyder | 1049622 | 70 | 02/27/2015 | Customer Dispute | Withdrawn | $2,000,000.00 | $0.00 | See FINRA Report |
| Joan L Lanham Baldwin | 1953462 | 2 | 08/11/2014 | Customer Dispute | Withdrawn | $3,000,000.00 | $0.00 | See FINRA Report |
| Adrian Levsky | 3220345 | 1 | 03/10/2014 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |