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 Stephen Walls | 1105863 | 14 | 09/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Frederick Guensch | 1769051 | 4 | 06/30/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles M Jenkins | 3182100 | 3 | 01/04/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 04/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Everett Ray Hurst | 1617138 | 1 | 11/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Albert Heil | 4255539 | 1 | 10/02/2014 | Financial | Final | $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 | |
| Charles M Jenkins | 3182100 | 3 | 04/12/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 08/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |