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FINRA Broker Disclosures for Union Capital Company

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.

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Displaying 41-50 out of 64 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Steven Rand Hill4288639411/01/2005Customer DisputeDenied$0.00$0.00See FINRA Report
Richard Bruce Sladek4260801005/16/2005Customer DisputeClosed-No Action$125,000.00$0.00See FINRA Report
Max Jack Safdie408921802/21/2005Customer DisputeSettled$15,000.00$0.00See FINRA Report
Richard Bruce Sladek4260801010/28/2004Customer DisputeSettled$225,000.00$0.00See FINRA Report
Richard Bruce Sladek4260801003/17/2003Customer DisputeAward / Judgment$1,100,000.00$705,494.00See FINRA Report
Richard Bruce Sladek4260801001/14/2002Customer DisputeDenied$0.00$0.00See FINRA Report
Richard Bruce Sladek4260801008/24/2001Customer DisputeSettled$190,554.00$0.00See FINRA Report
Richard Bruce Sladek4260801001/09/2001Customer DisputeSettled$0.00$0.00See FINRA Report
Gary R Gygi1577760409/25/2000Customer DisputeSettled$60,963.00$0.00See FINRA Report
Gerald James Ohalloran10566971505/05/2000Customer DisputeSettled$8,646.30$0.00See FINRA Report

64 Results

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