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 |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Boo Young Song | 4334284 | 2 | 06/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Boo Young Song | 4334284 | 2 | 06/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Claudia Mata | 4792729 | 2 | 04/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Waller Harman | 4481481 | 3 | 08/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Holly Elizabeth Arellano | 4864769 | 1 | 04/17/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hajime James Sakiyama | 3009522 | 1 | 04/30/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Craig Baumhoff | 1416203 | 2 | 06/14/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |