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 |
|---|---|---|---|---|---|---|---|---|
| Lane Oren Strumlauf | 2242337 | 1 | 11/04/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/01/1983 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 10/28/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Judi Washington | 4870305 | 3 | 08/19/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/04/1983 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley William Zilbersher | 1226699 | 4 | 07/26/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hunter | 2019766 | 2 | 03/27/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 03/21/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay P Mechling | 1238949 | 4 | 03/02/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |