The allegations read: Cody was named a respondent in a finra complaint alleging that during the course of finra's investigation into whether he engaged in securities business while suspended, cody provided false and misleading information in response to finra's requests for information and during on-the-record testimony. The complaint alleges that finra opened an investigation into cody's activities after a former customer of his contacted it. The customer informed finra that, among other things, she recently had learned that cody had been suspended for most of 2013, but that cody had continued to serve as her broker during that year. The customer forwarded to finra staff emails that were written between the customer and cody's personal email account in 2013, while cody was suspended. The customer also forwarded to finra staff an email that was written by the customer in 2013 to a business email account that cody used prior to (and following) his suspension. The forwarded emails discussed, among other things, investment strategy and potential trades in one or more of the customer's accounts. During the investigation, finra reviewed emails associated with cody's personal email account and the business email account, as well as those associated with business email account of his wife, during the period that cody was suspended. Finra also spoke with a number of cody's and his wife's former customers. Based, in part, on those sources, finra learned that cody, with his wife's assistance, repeatedly violated the terms of his suspension by, among other things, communicating with customers, making securities recommendations to them, and placing trades on their behalf. The complaint also alleges that cody failed to provide documents and information in response to finra's requests for information and failed to appear for on-the-record testimony.
