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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Michael Brown | 1240188 | 6 | 06/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Brown | 1240188 | 6 | 05/06/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Max Jack Safdie | 408921 | 8 | 02/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 09/19/2008 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Steven Rand Hill | 4288639 | 4 | 08/28/2008 | Customer Dispute | Closed-No Action | $173,215.00 | $0.00 | See FINRA Report |
| Steven Rand Hill | 4288639 | 4 | 10/29/2007 | Customer Dispute | Award / Judgment | $172,777.00 | $297,051.00 | See FINRA Report |
| Gary R Gygi | 1577760 | 4 | 08/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Eberle | 1685607 | 1 | 08/09/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Roy Friedenberg | 1413577 | 1 | 01/03/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerald James Ohalloran | 1056697 | 15 | 10/16/2006 | Customer Dispute | Award / Judgment | $64,193.00 | $76,565.10 | See FINRA Report |