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 | 05/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Bruce Sladek | 426080 | 10 | 04/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Carpenter | 2172969 | 4 | 02/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald James Ohalloran | 1056697 | 15 | 06/08/2018 | Regulatory | Final | $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 |
| William Paul Fauzio | 2193834 | 8 | 09/29/2017 | Financial | Final | $0.00 | $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 | |
| Randyl Robert Taber | 1399854 | 6 | 05/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |