Jill M. 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 the customer’s funds.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Cody has been identified in five additional customer initiated investment related disputes containing allegations of her misconduct while employed with Concorde Investment Services, LLC, Park Avenue Securities, Merrill Lynch, Westminster Financial Securities, Inc., and Columbia Management. Particularly, on October 23, 2015, a customer filed an investment related arbitration claim involving Cody’s conduct, in which the customer requested $160,000.00 in damages based upon allegations that Cody omitted information concerning the withdrawal penalties on a variable annuity.
Subsequently, between November 28, 2016, and December 20, 2016, three customers filed investment related written complaints regarding Cody’s activities, in which the customers requested more than $5,000.00 in damages based upon allegations that Cody took the customers’ funds in connection with over-the-counter equity investments. On December 22, 2016, another customer filed an investment related written complaint involving Cody’s conduct based upon allegations that Cody committed forgery and the misappropriation of funds belonging to the customer.
Moreover, on October 28, 2016, the Securities and Exchange Commission (SEC) launched an investigation into Cody’s activities in order to assess whether federal securities laws had been violated based upon Cody’s conduct. Cody’s registration was terminated from Westminster Financial Services, Inc. on January 15, 2013. From January 15, 2013 to August 5, 2016, Cody was registered with Concorde Investment Services, LLC.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
