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James Lombardo Involved in Pending Dispute

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 10, 2025 at 8:44pm

James Lombardo (CRD #: 2708865), a broker registered with Ameriprise Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on August 3, 2025. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

In a dispute filed on April 14, 2025, the guardian for an investor alleged that James Lombardo failed to follow instructions concerning the client’s estate plan. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

James Lombardo has passed the following exams:

  • General Securities Sales Supervisor Examination (Options Module & General Module) – Series 8
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Municipal Securities Representative Examination – Series 52
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

James Lombardo is a registered broker in 25 states and a registered investment adviser in Florida, New Jersey, New York, and Texas.

He has also worked for the following firms:

  • Morgan Stanley (CRD#:149777)
  • UBS Financial Services (CRD#:8174)
  • H&R Block Financial Advisors (CRD#:5979) 

Kurta Law Can Help

If you worked with James Lombardo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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