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…
Richard Grant Cody of Spring Lake New Jersey on November 9, 2018, pleaded guilty to one count of investment adviser fraud; conduct violative of 15 U.S.C. § 80b-6 and 80b-17. United States v. Richard G. Cody Case No. 1:17-cr-10291-FDS. Cody lied to customers about the security of their retirement savings and had provided customers with…
Richard Grant Cody, of Spring Lake, New Jersey, a stockbroker formerly employed with Concorde Investment Services, LLC, has been named in a customer initiated investment related arbitration claim on September 13, 2017, in which the customer alleged that Cody effected floating rate note trades in the customer’s portfolio without the customer’s consent between 2013 and…
Richard Grant Cody, of Spring Lake, New Jersey, a stockbroker formerly registered with Westminster Financial Securities, Inc., has been named in a customer initiated investment related written complaint on January 18, 2017, based upon allegations that Cody misappropriated funds belonging to the customer in connection with over-the-counter equity transactions. Financial Industry Regulatory Authority (FINRA) Public…