UBS FINANCIAL SERVICES INC. of WEEHAWKEN, NJ is an SEC-registered investment adviser (CRD 8174). Regulatory assets under management: $915.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, State/municipal.
Showing 25 of 92 people.
| Name | Role | Location |
|---|---|---|
| Ralph Mattone | PRINCIPAL FINANCIAL OFFICER | — |
| Lisa M. Francomano | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | — |
| Joseph Somma | PRINCIPAL OPERATIONS OFFICER | — |
| Kiye Sakai | GENERAL COUNSEL | — |
| Lauren Munfa | CHIEF COMPLIANCE OFFICER | — |
| Peter Mozer | MANAGING DIRECTOR | — |
| Robert Brooks Karofsky | CO-PRESIDENT GWM AND PRESIDENT UBS AMERICAS | — |
| Michael Alan Camacho | PRESIDENT | — |
| Cameron King Martin | DIRECTOR, EXECUTIVE VICE PRESIDENT | — |
| MEYER EUGENE ALLEN | CCO | — |
| PLUCHINO FRANK SAL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | — |
| HUFF ARTHUR JAMES | CROP | — |
| FRIMMEL DIANE | COO; COO, EXECUTIVE VICE PRESIDENT; DIRECTOR (+4 more) | — |
| LYNN EDWARD CHARLES | SROP | — |
| CHERSI ROBERT JOSEPH | CFO; CFO, DIRECTOR, MEMBER OF THE WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE; CFO, EXECUTIVE VICE PRESIDENT | — |
| SHELTON MARK STEVEN | GENERAL COUNSEL, EXECUTIVE VICE PRESIDENT; GENERAL COUNSEL, MANAGING DIRECTOR | — |
| HOEKSTRA MARTEN SYBREN | CEO; CEO, DIRECTOR; CEO UBSFS, HEAD OF WM AMERICAS BUSINESS DIVISION, MEMBER OF UBS AG GROUP EXECUTIVE BOARD (+2 more) | — |
| WEISBERG MICHAEL ANDREW | DIRECTOR; DIRECTOR, MEMBER OF THE WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE | — |
| ZOLL DAVID LAWRENCE | DIRECTOR | — |
| POLANIN JOHN JR | DIRECTOR OF COMPLIANCE; DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | — |
| KING TAMBRA SUZANNE | CORPORATE SECRETARY | — |
| PIERCE JAMES MADIGAN | EXECUTIVE COMMITTEE MEMBERS; MEMBER OF THE WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE | — |
| PRICE JAMES DALE | DIRECTOR; DIRECTOR, EXECUTIVE VICE PRESIDENT; DIRECTOR, MEMBER OF THE WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE (+2 more) | — |
| FRANCOMANO LISA M | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | — |
| HULL BRIAN PATRICK | DIRECTOR, MEMBER OF THE UBS AG WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE; MEMBER OF THE UBS AG WEALTH MANAGEMENT AMERICAS EXECUTIVE COMMITTEE; PRESIDENT | — |
Showing 10 of 496 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-22 | regulatory | FINRA AND THE EXCHANGES DETERMINED THAT CSSU FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FEDERAL SECURITIES LAWS AND FINRA AND EXCHANGE RULES PROHIBITING VARIOUS FORMS OF MANIPULATIVE AND INSIDER TRADING, IN VIOLATION OF FINRA RU… | Final | $445K |
| 2025-12-22 | regulatory | FINRA AND THE EXCHANGES DETERMINED THAT CSSU FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FEDERAL SECURITIES LAWS AND FINRA AND EXCHANGE RULES PROHIBITING VARIOUS FORMS OF MANIPULATIVE AND INSIDER TRADING, IN VIOLATION OF FINRA RU… | Final | $891K |
| 2025-12-22 | regulatory | FINRA AND THE EXCHANGES DETERMINED THAT CSSU FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FEDERAL SECURITIES LAWS AND FINRA AND EXCHANGE RULES PROHIBITING VARIOUS FORMS OF MANIPULATIVE AND INSIDER TRADING, IN VIOLATION OF FINRA RU… | Final | $455K |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL… | Final | — |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITAL MANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGA… | Final | $268.5M |
| 2022-09-27 | regulatory | UBS FINANCIAL SERVICES INC. AND AFFILIATE BROKER-DEALER UBS SECURITIES LLC. (TOGETHER "UBS") SUBMITTED AN OFFER OF SETTLEMENT, ACCEPTED BY THE COMMISSION, IN WHICH UBS ADMITTED THE FACTS RECITED IN THE COMMISSION'S ORDER AND ACKNOWLEDGED VIOLATIONS OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 17(… | Final | $125.0M |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER 2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG (COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE COMMODITY EX… | Final | $75.0M |
| 2022-07-27 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") INSTITUTED PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, AGAINST UBS FINANCIAL SERVICES INC. ("UBS"), ALLEGING THAT UBS FAILED TO ADEQUATELY D… | Final | $925K |
| 2022-06-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND SECTIONS 203… | Final | $17.4M |
| 2021-12-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND TO THE ENTRY OF A FINDING THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE 529 PLAN SHARE-CLASS RECOMMENDATIONS IN VIOLATION OF MSRB RULE G-27. BECAUSE UBS SELF-REPORTED THE I… | Final | — |