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 |
|---|---|---|---|---|---|---|---|---|
| Jon Ryan Gabrielson | 1547833 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Joseph Croak | 840899 | 4 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $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 |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 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 |
| Russell Kenneth Kramp | 274931 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |