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 |
|---|---|---|---|---|---|---|---|---|
| Arnold I Irwin Alpert | 3919 | 3 | 05/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elias A Letayf | 4545016 | 2 | 04/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 04/24/2024 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Ryan Patrick Casey | 6077387 | 1 | 04/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Elliot Goldman | 2285731 | 2 | 04/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Mabel Morse | 1129465 | 3 | 03/26/2024 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |
| Douglas Scott Ponczek | 5843395 | 1 | 03/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Mark Alan Siegel | 1579229 | 1 | 03/18/2024 | Customer Dispute | Denied | $177,676.00 | $0.00 | See FINRA Report |
| Gerald O'Niell McGinley | 1811084 | 2 | 03/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alan L Katz | 834107 | 1 | 03/11/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |