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 |
|---|---|---|---|---|---|---|---|---|
| Sonia Maria Attkiss | 2936806 | 6 | 03/07/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Justin Woods Raho | 5168156 | 1 | 03/05/2024 | Customer Dispute | Denied | $124,000.00 | $0.00 | See FINRA Report |
| Deborah Anne Jackman | 2799705 | 1 | 02/29/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy L Rauwald | 2189456 | 2 | 02/15/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Landivar | 2784555 | 1 | 02/14/2024 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Hallie Page Lee | 5706622 | 1 | 02/13/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Arthur Berns | 1503704 | 1 | 02/12/2024 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Mario Anthony Lepore | 3144673 | 4 | 01/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Howard Saunders | 870131 | 6 | 01/18/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marlo A Jackson | 2584250 | 1 | 12/14/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |