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 | 10/04/1995 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |
| Joe Richard Garza | 2213914 | 5 | 11/30/1994 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Joe Richard Garza | 2213914 | 5 | 01/26/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Douglass Geary | 2996679 | 3 | 01/03/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 10/27/1982 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Max Jack Safdie | 408921 | 8 | 08/20/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 09/06/1956 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |