Gary Wayne Hammond
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054137002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Wayne Hammond (Respondent) Former General Securities Representative and Former General Securities Sales Supervisor CRD No. 2660432 Pursuant to FINRA Rule 9216, Respondent Gary Wayne Hammond submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017054137002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2660432 |
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