Category Archives: Union Capital Company

Frank Almada-Union Capital Co. Broker-Discloses Customer Dispute-Tucson, AZ

May 2017- Tucson, AZ

The FINRA records  of Francisco (Frank)  B. Almada,  a  stockbroker who is currently employed by  Union Capital Company   disclose a pending  customer dispute, a prior final customer dispute and a prior financial event .

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In the currently pending FINRA arbitration 16-02790 a customer of Union Capital Company alleges damages of $500,000 for failure to supervise .

Alamada has been employed by Union Capital Company since 8/2001.

If you have questions about an account  handled by Francisco B. Almada call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Francisco B. Almada-Union Capital Co. Broker-Discloses Customer Disputes-Tucson, AZ

April 2017-Tucson, AZ

The FINRA records of  Francisco B. Almada ,  a  broker with Union Capital Company   disclose a pending customer dispute and a prior final customer dispute .

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In currently pending FINRA Case 16-02790   a customer of Union Capital Company  seeks damages of $500,000 and alleges failure to supervise.

In a prior matter , FINRA Case 11-03967, a customer of Union Capital Company alleged damages of $168,000 for unsuitable investments, breach of fiduciary duty and failure to supervise. The case was settled by Mr. Almada for $38,500.

Almada has been registered with Union Capital Company  since 8/2001 and discloses a business affiliation with ACC Agency . Almada was also registered with Northeast Securities from 7/2015-9/2016.

If you have questions about an account  handled by Francisco B. Almada  , contact us to discuss to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870