Tag Archives: Cody Hawkins Fitzgerald

Waddell Reed Stockbroker Sanctioned For Customer Loan

November 24, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Cody Hawkins Fitzgerald (also known as Cody Doyle Hawkins) of Maitland Florida a stockbroker formerly registered with Waddell Reed has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he borrowed a customer’s funds in contravention of the policies […]

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