Investors are alleging losses caused by securities broker Gary Wayne Hammond [CRD#: 2660432, Charlotte, North Carolina]. Evidently, MSI Financial Services, who Hammond worked for from 2000 to 2017, disaffiliated with him for allegedly selling away and [mis]handling a client complaint. Most significantly, Hammond is involved in 10 investor disputes as reported on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, MSI Financial Services clients indicate that Hammond was unfair, deceptive and recommended potentially bad or fictitious investments. Here’s more about the securities broker:
Apparently, an investor contested Gary Hammond’s actions in Civil Suit #: 19CVS12902 filed July 1, 2019. This client indicates in this lawsuit that while at MetLife, Hammond was “unfair” and “deceptive” with regard to his recommendations of private securities. It is possible that Hammond engaged in unauthorized transactions and caused the client to sustain losses. For this reason, the client demanded compensation from MSI Financial Services or Hammond in the amount of $25,000.01 in this ongoing matter.
Notably, on March 21, 2019, a second investor filed Civil Suit#: 19CVS5033 concerning Gary Hammond. Mainly, the client indicated that Hammond’s recommendations from 2005 to 2016 were unreasonable, unfair and deceptive. Hammond potentially lied to the client about these investments. As a result, the client requested $25,000.01 from MSI Financial Services or Hammond. Apparently, this civil suit is pending a resolution.
Evidently, a third client of Gary Hammond brought Civil Suit #: 18CVS24234 on January 7, 2019. Allegedly, Hammond violated the antifraud laws in the State of North Carolina concerning the client’s “investment into a fictitious entity.” This client also indicated that Hammond’s private securities recommendations caused the client to experience losses. Consequently, the client demanded compensation from MSI Financial Services or Hammond in the amount of $25,000.01 in this ongoing matter.
Have you experienced losses by investing in private securities because of broker Gary Hammond? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered millions of dollars for clients who have incurred losses due to misconduct of securities firms and brokers like Hammond.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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