The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
Richard Grant Cody (CRD #2794558, Registered Representative, Wall, New Jersey)
was fined a total of $27,500 and suspended from association with any FINRA member in any capacity for one year. The United States Court of Appeals for the First Circuit affirmed an SEC decision, which had sustained a NAC decision.
The FINRA sanctions were based on findings that Cody engaged in unsuitable and excessive trading in customers’ accounts, provided his customers with account summaries that contained materially misleading account values
and failed to timely update his Form U4 to disclose customer settlements.
This suspension is in effect from January 7, 2013, through January 6, 2014. (FINRA Case #2005003188901)
This ends the information from FINRA.
If you or a family member experienced financial losses due to your broker 'churning' your accounts, call for a free consultation with an attorney at, 888-760-6552, or visit our website: https://www.securitieslawyer.com.
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