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 |
|---|---|---|---|---|---|---|---|---|
| Jay P Mechling | 1238949 | 4 | 03/02/1983 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 03/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Chenian | 820949 | 2 | 03/01/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth George Catanella | 43254 | 15 | 01/26/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Kathryn A Sleder | 1338063 | 1 | 01/19/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Alexander Cutter | 1388710 | 2 | 01/15/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 01/01/1983 | Customer Dispute | Award / Judgment | $80,000.00 | $10,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 01/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Myles Frederick Wittenstein | 470824 | 1 | 11/30/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John H Klaasen | 4904484 | 3 | 11/30/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |