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 |
|---|---|---|---|---|---|---|---|---|
| Steve Liddell | 1509609 | 1 | 08/02/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter H Foley | 2580052 | 4 | 07/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/28/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert James Salamy | 2138443 | 3 | 07/27/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Anthony Rabito | 845812 | 3 | 07/15/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/15/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Colleen Regina Schuhmann | 2729877 | 1 | 07/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 07/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul K Addo | 5422664 | 2 | 07/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Russell Anthony Rabito | 845812 | 3 | 07/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |