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 |
|---|---|---|---|---|---|---|---|---|
| Yekaterina Tervinsky | 4808362 | 1 | 09/21/2010 | Customer Dispute | Withdrawn | $13,000.00 | $0.00 | See FINRA Report |
| Victor Hugo Hernandez | 2699624 | 2 | 08/17/2010 | Customer Dispute | Settled | $34,419.00 | $0.00 | See FINRA Report |
| Brandon Lee Jenkins | 4823688 | 2 | 07/29/2010 | Customer Dispute | Settled | $8,600.00 | $0.00 | See FINRA Report |
| Michael Ken Hawkes | 2993230 | 1 | 03/22/2010 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Darlene Flores Swatik | 4274701 | 2 | 11/28/2009 | Customer Dispute | Settled | $6,023.63 | $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 |
| William Richard Nolan | 2466049 | 2 | 06/26/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Robert Rogerson | 2372501 | 2 | 04/03/2009 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |