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 |
|---|---|---|---|---|---|---|---|---|
| Gerald James Ohalloran | 1056697 | 15 | 05/05/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Francis Bodkin | 24606 | 1 | 02/05/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 10/01/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 09/28/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 09/16/1998 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Gerald James Ohalloran | 1056697 | 15 | 09/01/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Max Jack Safdie | 408921 | 8 | 07/17/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Brown | 1240188 | 6 | 01/24/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Max Jack Safdie | 408921 | 8 | 01/12/1996 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| Max Jack Safdie | 408921 | 8 | 10/04/1995 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |