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 |
|---|---|---|---|---|---|---|---|---|
| Karen Ann Koenig | 6504035 | 1 | 04/15/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randyl Robert Taber | 1399854 | 6 | 02/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Hewell Coats | 1059144 | 1 | 12/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Bruce Sladek | 426080 | 10 | 08/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randyl Robert Taber | 1399854 | 6 | 05/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Anderson Cumber | 2514669 | 4 | 02/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin William McBarron | 1282026 | 5 | 12/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Larry Roy Friedenberg | 1413577 | 1 | 01/03/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernest Alexander Harris | 714335 | 6 | 08/17/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Paul Fauzio | 2193834 | 8 | 08/02/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |