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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Richard Adams | 1754705 | 2 | 10/23/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Brunner | 1064435 | 2 | 05/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sandra Cabaniss | 2377356 | 1 | 04/04/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Jerome Bloom | 827097 | 2 | 01/27/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Charles Stonhaus | 1031651 | 10 | 01/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Duane Charles Ohly | 2031535 | 3 | 10/03/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 01/01/1980 | Customer Dispute | Award / Judgment | $40,870.00 | $20,000.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 10/07/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 06/23/1979 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge L Lopez-Balboa | 312625 | 2 | 11/20/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |