Herman Forrest Lombard (CRD #1664771, Registered Representative, Papillion, Nebraska) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $5,000 and suspended from association with any NASD member in any capacity for six months. The fine must be paid before Lombard reassociates with any NASD member following the suspension or before requesting relief from any statutory disqualification. Without admitting or denying the allegations, Lombard consented to the described sanctions and to the entry of findings that he engaged in private securities transactions totaling $256,000 without notifying his member firm of these transactions and his proposed role therein, and without receiving prior written approval from his member firm. Lombard's suspension began March 7, 2005, and will conclude at the close of business September 6, 2005. (NASD Case #C04050006)

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