Our Staff has compiled our research into a database of FINRA Broker Allegations for Richard Grant Cody.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Richard Grant Cody | 2794558 | 35 | 02/03/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/28/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/19/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 02/26/2019 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 11/19/2018 | Customer Dispute | Settled | $245,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/14/2018 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 12/12/2017 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 09/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 08/28/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 08/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |