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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Waller Harman | 4481481 | 3 | 04/21/2009 | Customer Dispute | Denied | $27,157.80 | $0.00 | See FINRA Report |
| Andrew Robert Rogerson | 2372501 | 2 | 04/03/2009 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Damian Siegfried Mossbarger | 3090647 | 1 | 02/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seana Chung | 4075386 | 2 | 11/06/2008 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Dale C Spahr | 2224755 | 1 | 09/12/2008 | Customer Dispute | Denied | $33,879.00 | $0.00 | See FINRA Report |
| Sharon Donna Azgour | 2703690 | 4 | 03/10/2008 | Customer Dispute | Denied | $41,591.00 | $0.00 | See FINRA Report |
| Deborah Haller Valenzuela | 1597376 | 1 | 01/24/2008 | Customer Dispute | Denied | $15,168.40 | $0.00 | See FINRA Report |
| Sharon Donna Azgour | 2703690 | 4 | 05/09/2007 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ronald Lawrence Rigsby | 1488314 | 1 | 07/05/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arthur James Johnson | 2510972 | 5 | 11/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |