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 |
---|---|---|---|---|---|---|---|---|
Steven Rand Hill | 4288639 | 4 | 11/01/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Richard Bruce Sladek | 426080 | 10 | 05/16/2005 | Customer Dispute | Closed-No Action | $125,000.00 | $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 | 03/17/2003 | Customer Dispute | Award / Judgment | $1,100,000.00 | $705,494.00 | See FINRA Report |
Richard Bruce Sladek | 426080 | 10 | 01/14/2002 | Customer Dispute | Denied | $0.00 | $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 |