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 | 07/05/2022 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 10/20/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 01/16/2020 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 04/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary R Gygi | 1577760 | 4 | 10/23/2017 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Gary R Gygi | 1577760 | 4 | 09/27/2017 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 04/04/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 08/02/2016 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 03/07/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 10/27/2011 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |