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 |
|---|---|---|---|---|---|---|---|---|
| Edward Thomas Carpenter | 2172969 | 4 | 11/07/2019 | Financial | 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 |
| 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 |