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 |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Michael John Tangen | 2476343 | 3 | 12/18/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Johnny G Brown | 5408594 | 2 | 04/20/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Samuel Salm | 1970888 | 2 | 10/09/2008 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| 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 |