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 |
|---|---|---|---|---|---|---|---|---|
| Barry Thomas Oneil | 1186926 | 3 | 02/23/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Logan McCrimlisk | 1000764 | 1 | 11/21/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Pius Stanton | 1380832 | 3 | 09/20/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Bert Mitchell | 2444700 | 1 | 08/25/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Arnold Swanson | 1236503 | 3 | 09/27/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Ryan Gabrielson | 1547833 | 4 | 08/22/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $174,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $350,000.00 | See FINRA Report |
| Paul Dennis Nelson | 2039996 | 1 | 04/17/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Frederick Rasweiler | 602403 | 5 | 01/11/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |