Nex Systems
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HERMAN F. LOMBARD

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050006 To: Department of Enforcement NASD Re: Herman F. Lombard Investment Company/Variable Contracts Representative and Direct Participation Programs Representative (CRD No. 1664771) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Herman F. Lombard, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference C04050006data-portal.finra.orgfinra.org

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