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 |
|---|---|---|---|---|---|---|---|---|
| William Paul Fauzio | 2193834 | 8 | 06/02/2003 | Regulatory | Final | $0.00 | $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 |
| William Paul Fauzio | 2193834 | 8 | 08/02/2002 | Employment Separation After Allegations | $0.00 | $0.00 | 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 |
| Gerald James Ohalloran | 1056697 | 15 | 05/05/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Paul Fauzio | 2193834 | 8 | 04/26/1999 | Civil Bond | $0.00 | $0.00 | See FINRA Report |