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 |
|---|---|---|---|---|---|---|---|---|
| Aishka O Lugo | 4419998 | 22 | 06/10/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Frank Samuel Walter | 5685573 | 1 | 06/06/2024 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| James Leonard Candella | 4365560 | 1 | 05/21/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen M Dohler | 3278174 | 1 | 05/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patricia B Smith | 501388 | 1 | 05/16/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Guillermo Agustin Eiben | 5697705 | 2 | 05/16/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jose David Mendez Perez | 2945273 | 27 | 05/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Bart Silverberg | 1576956 | 2 | 05/14/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael S Wetrich | 2842343 | 2 | 05/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robbyn Geoffrey Gayer | 4490638 | 1 | 05/06/2024 | Customer Dispute | Pending | $20,230.40 | $0.00 | See FINRA Report |