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 |
|---|---|---|---|---|---|---|---|---|
| Timothy W William Seeger | 2969175 | 1 | 10/09/2008 | Customer Dispute | Withdrawn | $37,000.00 | $0.00 | See FINRA Report |
| Nicholas Alfred Maurillo | 1099047 | 3 | 04/24/2008 | Customer Dispute | Withdrawn | $73,273.20 | $0.00 | See FINRA Report |
| Thomas A McMullen | 1881082 | 5 | 03/17/2008 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Piet Aldrich | 4652843 | 2 | 03/17/2008 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Eric N Nettles Dunn | 1780671 | 1 | 07/31/2007 | Customer Dispute | Withdrawn | $7,464.39 | $0.00 | See FINRA Report |
| Adam Brooks Steen | 2231499 | 1 | 04/13/2007 | Customer Dispute | Withdrawn | $21,000.00 | $0.00 | See FINRA Report |
| Jose Eduard Crescioni | 3032431 | 19 | 03/20/2006 | Customer Dispute | Withdrawn | $6,981.00 | $0.00 | See FINRA Report |
| Claudia S Munoz | 2035977 | 2 | 08/10/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Christopher Harvey Rice | 2175213 | 5 | 11/29/2004 | Customer Dispute | Withdrawn | $8,050.00 | $0.00 | See FINRA Report |
| Ragan Earl Defreese | 1723407 | 5 | 10/01/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |