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 |
|---|---|---|---|---|---|---|---|---|
| Charles M Jenkins | 3182100 | 3 | 01/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edward Russell | 1673098 | 3 | 10/12/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| 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 | |
| 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 | |
| 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 |