Securities Fraud and Mismanagement

Attorney and Counselor at Law

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Did the actions/inactions of my broker fall below the required standard of care?

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Mr. Richard G. Cody has a long history of securities regulation violations.  If you were an investor with Mr. Cody, please call 1-866-817-0201 for a free consultation with an attorney concerning your rights and potential loss recovery.

From on or about March 19,2014 to on or about August 5,2016, Cody was registered with Concorde Investment Services, LLC (“Concorde”). On August 5,2016, Concorde filed a Uniform Termination Notice, disclosing that it terminated Cody on July 29,2016, and providing the following termination explanation: “Representative was discharged due to internal investigation into potential securities business activity while under regulatory suspension from registered activities.” Concorde later amended the termination explanation to read: “Representative was discharged due to internal review into potential securities business activity during a period of suspension from securities activities prior to his association with Concorde.”

From on or about August 18,2016 to on or about September 12,2016, Cody was registered with FINRA through IFS Securities (CRD No. 40375) (“IFS”). On September 12,2016, IFS filed a Form U5, which provided the following termination explanation: “forgery, selling away.” (IFS later amended the termination explanation to read: “forgery, attempting to sell away.”)

FINRA ultimately requested a final disciplinary order whereby additional fines would be requested and where Cody would ultimately be expelled from the securities industry.

Investors with Cody may have a right to recovery of their losses depending on the circumstances of the loss and should speak to an attorney.