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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Philip Badler | 838562 | 1 | 10/08/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John David Jacobs | 872707 | 6 | 09/30/1984 | Customer Dispute | Settled | $1,648,000.00 | $0.00 | See FINRA Report |
| Charles Leo Powers | 2554489 | 1 | 09/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 09/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/31/1984 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Stephen James Wilson | 726212 | 1 | 07/30/1984 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert B Wright | 874400 | 2 | 04/06/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marion P Porter Brawley | 856366 | 8 | 01/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Stephen Oleszkowicz | 837970 | 5 | 12/19/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary James Perrault | 1015589 | 3 | 12/01/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |