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 |
|---|---|---|---|---|---|---|---|---|
| Max Jack Safdie | 408921 | 8 | 09/19/2008 | Customer Dispute | Settled | $2,000,000.00 | $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 | 08/24/2001 | Customer Dispute | Settled | $190,554.00 | $0.00 | See FINRA Report |
| Richard Bruce Sladek | 426080 | 10 | 01/09/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary R Gygi | 1577760 | 4 | 09/25/2000 | Customer Dispute | Settled | $60,963.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 05/05/2000 | Customer Dispute | Settled | $8,646.30 | $0.00 | See FINRA Report |
| Joseph Francis Bodkin | 24606 | 1 | 02/05/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 10/01/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 01/12/1996 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |