Concorde Investment Services and its Chief Compliance Officer Kimberlee Elizabeth Levy of Livonia Michigan have been sanctioned by Financial industry Regulatory Authority (FINRA) based upon findings that they failed to supervise a stockbroker who enabled a disqualified stockbroker to effect trades in the accounts of Concorde customers. Letter of Acceptance Waiver and Consent No. 2018060577602…
Jill Marie Cody (also known as Jill Marie Tramontano) of Spring Lake New Jersey a stockbroker associated with Westminster Financial Securities Inc. and Concorde Investment Services LLC has been referenced in a customer initiated investment related arbitration claim which has been settled for $125,000.00 in damages supported by allegations that (1) misrepresentations were made to…
Jill Marie Cody (also known as Jill Marie Tramontano) of Neptune New Jersey is a stockbroker formerly registered with Concorde Investment Services LLC and investment advisor representative of Concorde Asset Management whose investment advisor representative and agent registration were revoked by the New Jersey Bureau of Securities according to a Summary Revocation Order containing findings…