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 |
|---|---|---|---|---|---|---|---|---|
| Forrest Eugene Fielder | 4287284 | 2 | 08/15/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Melnyk | 1444183 | 3 | 09/26/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Glen Warren Darby | 1197949 | 2 | 04/21/2011 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Hunter Numa Charbonnet | 4253810 | 1 | 12/13/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Barbosa-MacHado | 2948473 | 2 | 03/12/2010 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Federico Andres Lopez Juarbe | 4685974 | 25 | 08/18/2009 | Customer Dispute | Withdrawn | $20,459.60 | $0.00 | See FINRA Report |
| John Oscar Fogarty | 2245102 | 2 | 07/13/2009 | Customer Dispute | Withdrawn | $5,200,000.00 | $0.00 | See FINRA Report |
| Richard Ivan Greenspan | 1130269 | 7 | 05/13/2009 | Customer Dispute | Withdrawn | $53,000.00 | $0.00 | See FINRA Report |
| Jonathan Alan Adamsky | 2933918 | 3 | 05/13/2009 | Customer Dispute | Withdrawn | $53,000.00 | $0.00 | See FINRA Report |
| Nicholas Alfred Maurillo | 1099047 | 3 | 10/15/2008 | Customer Dispute | Withdrawn | $83,632.00 | $0.00 | See FINRA Report |