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 |
|---|---|---|---|---|---|---|---|---|
| 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 |