CRD #7506 · FINRA BrokerCheck + SEC IAPD

Lehman Brothers Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lehman Brothers Inc. ranks #3 of 20,055 by disclosure count (most disclosures first). Lehman Brothers Inc. carries 887 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
887
disclosures
#3 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7506 Lehman Brothers Inc.

Lehman Brothers Inc. · Grade F · 887 disc · 887.00/office · Single-office firm

  • CRD 7506
  • GRADE F
  • DISC 887
  • REG 359
  • ARB 527
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #3 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Prudential Equity Group, LLC (868.00 disc/office)

Prudential Equity Group…868.00Morgan Stanley DW Inc.758.00Credit Suisse Securitie…354.00Lehman Brothers Inc. (this)887.00
Disclosures per office among single-office firm peers (lower is cleaner)

Lehman Brothers Inc. ranks #3 of 20,055 by disclosure count among graded broker-dealers; heavy load at 887.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

887 events

On FINRA BrokerCheck

Regulatory events

359 actions

40% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 359
Arbitrations 527
Civil Events 1
Total 887

Counts for Lehman Brothers Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 359 Arbitration 527 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
7506

Heavy disclosure book

Lehman Brothers Inc. in the heavier-disclosure third

Lehman Brothers Inc. carries 887 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#3 of 20,055). Mix is 359 regulatory, 527 arbitration, and 1 civil (40% regulator share).

Lehman Brothers Inc. ranks #3 of 20,055 by BrokerCheck disclosure count among graded firms (887 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Lehman Brothers Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Lehman Brothers Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lehman Brothers Inc. ranks #3 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Lehman Brothers Inc.?
A grade of F reflects Lehman Brothers Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 887 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Lehman Brothers Inc. have?
Lehman Brothers Inc. has 887 total FINRA disclosures, including 359 regulatory events, 527 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lehman Brothers Inc.?
Lehman Brothers Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Lehman Brothers Inc.'s disciplinary record?
You can verify Lehman Brothers Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7506. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Lehman Brothers Inc.'s 887 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Lehman Brothers Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Lehman Brothers Inc. carries 887 disclosures across 0 branch offices (about 887.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.