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 |
|---|---|---|---|---|---|---|---|---|
| Dimitrios K Michelis | 2920152 | 1 | 12/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles David Lawson | 5452641 | 3 | 12/07/2022 | Customer Dispute | Pending | $286,779.00 | $0.00 | See FINRA Report |
| Lance Edward Cholet | 3239588 | 2 | 12/07/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Westerman | 4690987 | 1 | 12/06/2022 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Joshua R. Axel | 4227334 | 3 | 12/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Toria Scotto | 4778359 | 2 | 11/30/2022 | Customer Dispute | Pending | $817,890.00 | $0.00 | See FINRA Report |
| Daniel James Egbert | 3126238 | 2 | 11/30/2022 | Customer Dispute | Pending | $817,890.00 | $0.00 | See FINRA Report |
| Arthur Joseph Cahill | 1487974 | 5 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Monda Degan Hanna | 1173486 | 1 | 11/18/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James P Sheffield | 2951594 | 1 | 11/10/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |