Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice

Hammond is also accused of providing false information on a firm compliance questionnaire.

gary-hammond-barred-following-allegationsGary Hammond (CRD#: 2660432) was registered as a broker Hornor, Townsend & Kent in Charlotte, NC, from August 2017 until December 2017. Previously, Hammond was registered as a broker with MLL Investors Services from March 2017 until May 2017 and with MSI Financial Services from August 2000 until March 2017.

Hammond has twelve disclosures on his BrokerCheck report. One customer dispute was closed with no action taken, one was withdrawn, and two were denied.

January 2021 Regulatory Judgment

July 2019 Customer Dispute

March 2019 Customer Dispute

January 2019 Customer Dispute

December 2018 Customer Dispute

October 2018 Customer Dispute

May 2018 Customer Dispute

April 2017 Employment Separation After Allegations

Contact Us Today

The Sonn Law Group is currently investigating allegations surrounding Gary Hammond. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.