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 John Tangen | 2476343 | 3 | 03/15/2018 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 09/08/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Samuel Salm | 1970888 | 2 | 08/03/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Tangen | 2476343 | 3 | 06/01/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Cleveland Collier | 873890 | 1 | 05/29/2017 | Customer Dispute | Settled | $37,500.00 | $0.00 | See FINRA Report |
| Thomas Edward Russell | 1673098 | 3 | 05/09/2017 | Judgment / Lien | $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 |
| Brandon Reed Croxton | 4882242 | 2 | 11/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Reed Croxton | 4882242 | 2 | 11/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |