The allegations read: Sec admin release 34-85355, ia release 5203 / march 19, 2019: the securities and exchange commission deems it appropriate and in the public interest that public administrative proceedings be instituted against richard g. Cody ("respondent").
on the basis of this order and respondent's offer, the commission finds that on november 9, 2018, cody pled guilty to one count of investment adviser fraud in violation of title 15 united states code, sections 80b-6 and 80b-17, and two counts of making a false declaration in violation of title 18 united states code, section 1623(a), before the united states district court for the district of massachusetts in united states v. Richard g. Cody, case no. 1:17-cr-10291-fds.
