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 |
|---|---|---|---|---|---|---|---|---|
| Gary R Gygi | 1577760 | 4 | 10/23/2017 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Charles Anderson Cumber | 2514669 | 4 | 09/29/2017 | Regulatory | Final | $0.00 | $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 | 08/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Bruce Sladek | 426080 | 10 | 04/04/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Anderson Cumber | 2514669 | 4 | 02/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Anderson Cumber | 2514669 | 4 | 09/01/2016 | Judgment / Lien | $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 |
| Nimesh V Patel | 4759279 | 3 | 02/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |