Our Staff has compiled our research into a database of FINRA Broker Disclosures for Unionbanc Investment Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Brooke Kristen Bordner | 5121440 | 1 | 11/24/2021 | Customer Dispute | Pending | $384,370.00 | $0.00 | See FINRA Report |
| Thomas Francis Bennett | 4201609 | 1 | 03/02/2021 | Customer Dispute | Closed-No Action | $5,866.07 | $0.00 | See FINRA Report |
| Brandy Lee Ann Brennan | 6775049 | 1 | 07/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mona Arabshahi | 5604176 | 1 | 07/23/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gustavo Javier Bauer | 6693772 | 1 | 04/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Han Park | 2826777 | 1 | 04/08/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Alvarez | 5183288 | 1 | 03/20/2020 | Customer Dispute | Denied | $171,634.00 | $0.00 | See FINRA Report |
| Gilbert Chavez Melgoza | 2443147 | 2 | 12/22/2019 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Nicole Marie Campos | 7174877 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan K Yasukawa | 5741356 | 1 | 11/14/2018 | Customer Dispute | Denied | $11,828.00 | $0.00 | See FINRA Report |