Lument Securities, LLC is a member of FINRA and SIPC. Lument is also registered with the Municipal Securities Rulemaking Board (“MSRB”) and the U.S. Securities and Exchange Commission.
You can access additional information about the MSRB and its rules at www.msrb.org
The MSRB provides significant protections for investors and potential investors who work with a dealer to buy and sell municipal securities. All dealers must comply with MSRB rules so that investors are treated fairly and appropriately.
If you have a dispute with Lument, you should try to, but do not have to, resolve it with your registered representative or the representative’s supervisor, and report the matter in writing to the supervisor or Lument’s compliance department. Written disputes should be sent to:
Attn: Compliance Department
10 West Broad Street, 8th Floor
Columbus, OH 43215
Even if you have pursued one or more of the above, you may also file a complaint with the regulatory agency that examines Lument for compliance with MSRB rules, or contact the MSRB directly at:
1300 I Street NW, Suite 1000
Washington, DC 20005
The MSRB will forward your complaint to the appropriate enforcement agency.
For more information about the protections provided for clients of municipal securities, see the MSRB’s Information of Municipal Securities Investors Brochure at www.msrb.org