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.
Investors have reportedly disputed the sales practices of securities broker John Dennis Lowry [CRD: 4336146, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lowry has been registered with Spartan Capital Securities LLC since July 10, 2008. See the following information to learn more about the disclosures involving […]
Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]
Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com