Our Staff has compiled our research into a database of FINRA Broker Disclosures for Umergence 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 |
|---|---|---|---|---|---|---|---|---|
| David Alexander Paterson | 6313890 | 1 | 09/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Richard Ziglar | 2954341 | 12 | 02/01/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 09/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 08/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 08/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 08/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 06/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 03/04/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 01/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Richard Ziglar | 2954341 | 12 | 06/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |