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 |
|---|---|---|---|---|---|---|---|---|
| William A Bass | 1350322 | 1 | 12/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Ellis Gold | 223820 | 6 | 07/07/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 10/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Mitchell Mallah | 1713034 | 4 | 06/28/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Daniel Spina | 432195 | 5 | 08/23/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William J Vanhoegarden | 824799 | 1 | 02/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Ryan Gabrielson | 1547833 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glen Warren Darby | 1197949 | 2 | 11/30/-0001 | Customer Dispute | Settled | $38,582.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $3,000.00 | See FINRA Report |