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MarUPDATE! Lombard Securities Settles with FINRA
Lombard Securities, Inc. Settles with FINRA Regarding Sales of ETFs We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ...
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SepWARNING! Impending Investigation: LOMBARD SECURITIES, INC. and ETFs
Lombard Securities, Inc. and ETFs We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs; b) failure to preserve ...
