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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edward Russell | 1673098 | 3 | 05/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 09/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 08/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 03/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 08/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 04/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 04/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 12/16/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 12/06/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 11/03/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |