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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Robert Rogerson | 2372501 | 2 | 05/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Wallen | 4938380 | 1 | 02/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon Donna Azgour | 2703690 | 7 | 11/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Hugo Hernandez | 2699624 | 2 | 03/25/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Craig Baumhoff | 1416203 | 2 | 05/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |