Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Lombard Securities Incorporated. If you suffered losses investing with Lombard Securities Incorporated, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Lombard Securities Incorporated (CRD# 27954) (SEC# 8-43340)
As of April 4, 2020, Lombard Securities Incorporated’s FINRA BrokerCheck Report contains the following:
4 Regulatory Event Disclosures
2 Arbitration Disclosures
2 Bond Disclosures
Main Office Location
1820 LANCASTER STREET
SECOND FLOOR
BALTIMORE, MD 21231
UNITED STATES
Mailing Address
1820 LANCASTER STREET
SECOND FLOOR
BALTIMORE, MD 21231
UNITED STATES
Business Telephone Number
410-342-1300
Direct Owners and Executive Officers
GALLATIN, JOANN CATHERINE, SHAREHOLDER
JONES, RUTH PORTER (CRD#:842232), SHAREHOLDER
REYNOLDS, EDWIN MAJOR JR (CRD#:374634), DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL
SOCHA, WILLIAM STEPHEN (CRD#:712323), CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER
FOX, CHARLES CURTIS (CRD#:1201770), CO-CEO; CHIEF COMPLIANCE OFFICER,DIRECTOR, AND SHAREHOLDER
OATES, DONALD EUGENE (CRD#:1180250), DIRECTOR AND SHAREHOLDER
PETER, EMIL III (CRD#:360931), DIRECTOR AND SHAREHOLDER
SONNIER, EDWARD DAVID II (CRD#:2479370), DIRECTOR AND SHAREHOLDER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Lombard Securities Incorporated and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
