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 | 12/22/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 12/22/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 12/20/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 12/12/2016 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 12/12/2016 | Regulatory | Pending | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 11/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 11/28/2016 | Customer Dispute | Settled | $545,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 09/12/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Richard Grant Cody | 2794558 | 35 | 09/04/2015 | Customer Dispute | Settled | $160,000.00 | $0.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 01/11/2008 | Regulatory | Final | $0.00 | $0.00 | See Allegations |