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 |
|---|---|---|---|---|---|---|---|---|
| Syed Abdul Rumin | 4896355 | 1 | 03/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Samuel Salm | 1970888 | 2 | 08/03/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Frederick Guensch | 1769051 | 4 | 03/15/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 04/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Albert Heil | 4255539 | 4 | 10/02/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Albert Heil | 4255539 | 4 | 07/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Albert Heil | 4255539 | 4 | 01/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Albert Heil | 4255539 | 4 | 03/06/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Switlick | 838288 | 8 | 01/07/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |