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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Thomas Hartung | 1110546 | 1 | 09/10/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Charles Curtis Fox | 1201770 | 2 | 02/01/2001 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| R. Devereux Slingluff | 855093 | 1 | 09/13/1999 | Customer Dispute | Settled | $21,857.20 | $0.00 | See FINRA Report |
| Michael Preston Cox | 1241173 | 2 | 09/24/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 09/08/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Robert Switlick | 838288 | 8 | 01/07/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Frederick Guensch | 1769051 | 4 | 12/22/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 06/22/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 06/01/1987 | Customer Dispute | Award / Judgment | $60,000.00 | $788,000.00 | See FINRA Report |
| David Frederick Guensch | 1769051 | 4 | 02/05/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |