BrokerSearch

BrokerSearch

RICHARD DODD HAMMOND

RICHARD DODD HAMMOND is currently employed as a Broker and/or Investment Adviser at MOLONEY SECURITIES CO., INC. located at 13537 BARRETT PARKWAY DRIVE, #300, MANCHESTER, MO, 63021.

RICHARD DODD HAMMOND has worked at MOLONEY SECURITIES CO., INC. since May 08, 2017

Disclosure History

RICHARD DODD HAMMOND has 2 Disclosure Event(s).

Date: August 22, 2006
Category: Customer Dispute
Allegations: UNSUITABILE INVESTMENTS & MISREPRESENTATION OF ANNUITIES
Damage Amount Requested: $100,000.00 Damages Granted: $50,000.00

Date: August 04, 2006
Category: Customer Dispute
Allegations: IN JUNE 2005, CLIENT SENT LETTER TO ANNUITY COMPANIES (FIXED)ASKING FOR FULL SURRENDER OF CONTRACT W/O PENALITIES. THEY TOLD HIM NO & HE NOW IS MAKING FALSE ALLEGATIONS REGARDING HIS BROKERAGE ACCOUNT BECAUSE OF THIS.
Damage Amount Requested: $300,000.00 Damages Granted: $71,902.50 06-03475

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for RICHARD DODD HAMMOND, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

How to choose a broker or investment adviser. Learn More