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 |
|---|---|---|---|---|---|---|---|---|
| Michael Christopher Alvarez | 5183288 | 1 | 03/20/2020 | Customer Dispute | Denied | $171,634.00 | $0.00 | See FINRA Report |
| Ryan K Yasukawa | 5741356 | 1 | 11/14/2018 | Customer Dispute | Denied | $11,828.00 | $0.00 | See FINRA Report |
| David Inhyuk Lee | 4329880 | 1 | 06/14/2016 | Customer Dispute | Denied | $11,934.00 | $0.00 | See FINRA Report |
| Douglas Waller Harman | 4481481 | 3 | 11/01/2013 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Edward Eugene Herrera | 4643230 | 1 | 06/12/2012 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Michael Steven Padilla | 2195067 | 4 | 06/12/2012 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Brandon Stuart Linster | 2707682 | 1 | 04/09/2012 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Seana Chung | 4075386 | 2 | 07/14/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wendy L Wong | 4173140 | 1 | 07/08/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| William Richard Nolan | 2466049 | 2 | 06/30/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |