Tag Archives: Lombard Securities Incorporated

Lombard Stockbroker Barred In Investigation

April 18, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News   |   Comments Off on Lombard Stockbroker Barred In Investigation

Eric Alan Zakarin of Cranford New Jersey a stockbroker formerly registered with Lombard Securities Corporation has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker neglected to provide information to the regulator. FINRA Case No. 2018060108301 (Mar. 2, 2020). FINRA Public […]

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FINRA Investigates Lombard Stockbroker For Conversion

John William Cutshall of Baltimore Maryland a stockbroker currently registered with Lombard Securities Incorporated is subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which FINRA recommended that a disciplinary action be brought against Cutshall for (1) converting a customer’s funds (2) failing to make required disclosures to Cutshall’s employing firms in reference to […]

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Lombard Securities Fails to Supervise Mutual Funds and Non-Traditional ETFs

Lombard Securities Incorporated was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that the firm failed to meet a myriad of supervisory responsibilities including written supervisory procedures designed to supervise the sale of leveraged, inverse, and inverse-leveraged exchange traded funds, prevent unsuitable mutual fund switching, and apply sales charge discounts to customers’ […]

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