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 |
|---|---|---|---|---|---|---|---|---|
| Randyl Robert Taber | 1399854 | 6 | 08/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randyl Robert Taber | 1399854 | 6 | 12/13/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Carpenter | 2172969 | 4 | 11/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 06/08/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Anderson Cumber | 2514669 | 4 | 09/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco B Almada | 1575694 | 1 | 07/12/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Carpenter | 2172969 | 4 | 05/16/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Douglass Geary | 2996679 | 3 | 09/17/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |