BRUCE E HAMMONDS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT COMPLAINANT, v. BRUCE E. HAMMONDS RESPONDENT. DISCIPLINARY PROCEEDING No. 20080139905 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Bruce E. Hammonds ("Hammonds"), a former registered representative at Merrill Lynch, Pierce, Fenner & Smith, Inc. (the "Firm" or "Merrill Lynch") fraudulently induced nine customers and two other individuals to invest in
12/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce E. Hammonds, CRD No. 5030215, Respondent. Disciplinary Proceeding No.20080139905 Hearing Officer Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 23, 2009 INTRODUCTION Disciplinary Proceeding No. 20080139905 was filed on December 3, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) ("Complainant").
Reference 2008013990501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5030215 |
Other names1
Also known as1
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