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 |
|---|---|---|---|---|---|---|---|---|
| John H Klaasen | 4904484 | 3 | 07/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Glen Levy | 1049051 | 2 | 07/10/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Miguel Tomassini | 2896586 | 45 | 07/10/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Luis Garcia | 5199113 | 1 | 07/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David George Ciprich | 2965402 | 1 | 06/28/2023 | Customer Dispute | Denied | $83,715.90 | $0.00 | See FINRA Report |
| John Jr.,John Marmion Jr | 1139175 | 2 | 06/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 6 | 06/21/2023 | Customer Dispute | Pending | $525,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 06/21/2023 | Customer Dispute | Pending | $525,000.00 | $0.00 | See FINRA Report |
| Arturo Enrique Reyes | 5665908 | 1 | 06/09/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |