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 | 08/14/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 08/11/2017 | Customer Dispute | Award / Judgment | $5,000.00 | $286,096.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 07/05/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 04/24/2017 | Customer Dispute | Closed-No Action | $164,358.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 04/11/2017 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/21/2017 | Customer Dispute | Settled | $25,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 03/21/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 01/27/2017 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 01/18/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |