Union Capital Company

Broker Ernest Harris in Union Capital Company Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Harris (Harris), previously associated with Union Capital Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,000.00 on June 27, 2023.

Poor performance/advise

Broker Brian Radoo in Union Capital Company Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Radoo (Radoo), previously associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Radoo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on August 29, 2023.

Beginning in 2016, the claimant alleges registered representative solicited claimants to invest in his cannabis cultivation company outside of the firm.

There are Recent Customer Complaints with Broker Gerald Ohalloran in Firm Union Capital Company

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Ohalloran (Ohalloran), currently associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Ohalloran recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $120,000.00 on June 24, 2024.

Allegation is Unsuitable product purchased in 2020.