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 Curtis Fox | 1201770 | 2 | 11/17/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael John Tangen | 2476343 | 3 | 03/15/2018 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Gary Cleveland Collier | 873890 | 1 | 05/29/2017 | Customer Dispute | Settled | $37,500.00 | $0.00 | See FINRA Report |
| Stephen Samuel Salm | 1970888 | 2 | 10/09/2008 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Michael Preston Cox | 1241173 | 2 | 08/19/2005 | Customer Dispute | Denied | $10,500.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 07/28/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arthur Thomas Hartung | 1110546 | 1 | 09/10/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Charles Curtis Fox | 1201770 | 2 | 02/01/2001 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| R Devereux Slingluff | 855093 | 1 | 09/13/1999 | Customer Dispute | Settled | $21,857.20 | $0.00 | See FINRA Report |
| Michael Preston Cox | 1241173 | 2 | 09/24/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |