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 |
|---|---|---|---|---|---|---|---|---|
| Lee Evan Gleeman | 1366954 | 3 | 10/19/2022 | Customer Dispute | Pending | $65,000.00 | $0.00 | See FINRA Report |
| Yoon Ji Park | 6787092 | 1 | 10/17/2022 | Customer Dispute | Settled | $511,000.00 | $0.00 | See FINRA Report |
| Jessica Meier | 4847390 | 1 | 10/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerard Joseph Costello | 1551511 | 10 | 10/11/2022 | Customer Dispute | Pending | $900,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 10/11/2022 | Customer Dispute | Pending | $900,000.00 | $0.00 | See FINRA Report |
| Marc Craig Portnoy | 718810 | 1 | 10/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christine A Mulkerrin | 4727782 | 1 | 10/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Michael Brennan | 2121919 | 1 | 10/07/2022 | Customer Dispute | Pending | $37,755.00 | $0.00 | See FINRA Report |
| Susan S Bordash | 872644 | 2 | 10/07/2022 | Customer Dispute | Denied | $37,755.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 86 | 10/06/2022 | Customer Dispute | Pending | $214,000.00 | $0.00 | See FINRA Report |