Our Staff has compiled our research into a database of FINRA Broker Disclosures for Lombard Securities Incorporated. 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 |
|---|---|---|---|---|---|---|---|---|
| Johnny G Brown | 5408594 | 2 | 10/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 09/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 11/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Allen Gerber | 1472992 | 1 | 09/03/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 07/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 07/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Syed Abdul Rumin | 4896355 | 1 | 03/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Curtis Fox | 1201770 | 2 | 11/17/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 08/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edward Russell | 1673098 | 3 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |