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 |
|---|---|---|---|---|---|---|---|---|
| Gretchen Elaine Hargroder | 2551513 | 2 | 06/08/2023 | Customer Dispute | Denied | $210,500.00 | $0.00 | See FINRA Report |
| Michael James Lundon | 2988875 | 1 | 06/08/2023 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Jason Erik Stephens | 3053046 | 4 | 06/08/2023 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Arthur Randall III | 1146676 | 2 | 06/05/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cedric McClain | 7634685 | 1 | 06/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taylor Michael Thompson | 5951104 | 1 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael W William Thompson | 1111881 | 3 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Joseph P Katzaroff | 1811119 | 4 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Daisy A Feng | 3251105 | 1 | 05/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen John Seiber | 1432535 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |