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 |
| Ernest Alexander Harris | 714335 | 6 | 04/25/2005 | Regulatory | Final | $0.00 | $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 |
| Ernest Alexander Harris | 714335 | 6 | 08/17/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernest Alexander Harris | 714335 | 6 | 08/01/2004 | Customer Dispute | Settled | $40,900.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 04/23/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 11/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Alexander Harris | 714335 | 6 | 06/24/2003 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |