Soreide Law Group, a Florida-based law firm, obtained the information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” from January of 2020.
Cody Hawkins-Fitzgerald (Also known as, CODY DOYLE HAWKINS, CODY DOYLE HAWKINS-FITZGERALD) CRD# 2506434
On November 12, 2019, FINRA issued an AWC in which Cody Hawkins-Fitzgerald was assessed a deferred fine of $5,000 and was suspended from association with any FINRA member in all capacities for 60 days from November 11, 2019 until January 16, 2020.
Without admitting or denying FINRA’s findings, Cody Hawkins-Fitzgerald consented to the sanctions and to the entry of findings that he allegedly borrowed $10,000 from an elderly client in violation of his member firm's policies.
FINRA’s findings stated that Cody Hawkins-Fitzgerald failed to obtain pre-approval from or otherwise disclose the loan to his firm, and instead allegedly asserted on compliance questionnaires that he had not engaged in any lending or borrowing arrangement with any client. FINRA Case #2019061911001
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Cody Hawkins-Fitzgerald has 8 disclosures on his CRD report. Of these 8 disclosures, 4 are “Customer Disputes.” One of the disputes settled for $10,500.00 in July of 2018, following allegations of, “Client alleges RR (Registered Representative) was involved with Respondents’ improper solicitation to purchase high-risk, speculative, alternative investments in February/March 2015.”
Cody Hawkins-Fitzgerald was registered in the securities industry for 21 years, but is not currently registered as a broker. He was listed with 9 firms, the most recent are listed below:
12/03/2014 - 12/07/2017 WADDELL & REED - MAITLAND, FL
08/08/2012 - 12/03/2014 CETERA ADVISORS LLC - ORLANDO, FL
11/25/2009 - 09/04/2012 INLET SECURITIES LLC - WINTER PARK, FL
If you or an elderly family member have suffered losses due to the actions or recommendations of Cody Hawkins-Fitzgerald, formerly of WADDELL & REED of MAITLAND, FL, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents our clients nationwide before FINRA.
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