Our Staff has compiled our research into a database of FINRA Broker Disclosures for Union Capital Company. 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 |
|---|---|---|---|---|---|---|---|---|
| Gerald James Ohalloran | 1056697 | 15 | 10/27/2011 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 09/19/2008 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Steven Rand Hill | 4288639 | 4 | 08/28/2008 | Customer Dispute | Closed-No Action | $173,215.00 | $0.00 | See FINRA Report |
| Steven Rand Hill | 4288639 | 4 | 10/29/2007 | Customer Dispute | Award / Judgment | $172,777.00 | $297,051.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 10/16/2006 | Customer Dispute | Award / Judgment | $64,193.00 | $76,565.10 | See FINRA Report |
| Steven Rand Hill | 4288639 | 4 | 11/01/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 05/16/2005 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 02/21/2005 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 10/28/2004 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 03/17/2003 | Customer Dispute | Award / Judgment | $1,100,000.00 | $705,494.00 | See FINRA Report |