RICHARD GRANT CODY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. RICHARD GRANT CODY (CRD No. 2794558), RESPONDENT. DISCIPLINARY PROCEEDING No. 2005003188901 COMPLAINT The Department of Enforcement alleges: 1. In August 1996, Richard Grant Cody (Cody) first became registered with the FINRA (f/k/a National Association of Securities Dealers, Inc. or NASD) as a General Securities Representative. From December 3, 2001 through May 31, 2005, Cody was registered as a
Reference 2005003188901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2794558 |
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