JILL M CODY - FINRAJILL M. CODY CRD# 4333419 This broker is not currently registered. Report Summary...

BrokerCheck Report

JILL M CODY

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 4333419

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5 - 6

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Page(s)

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About BrokerCheck®

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CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and

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http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414


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JILL M. CODY

CRD# 4333419

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 3

Customer Dispute 10

Investment Adviser RepresentativeInformation

https://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at



This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

1 State Securities Law Exam

Registration History

This broker was previously registered with thefollowing securities firm(s):

CONCORDE INVESTMENT SERVICES, LLCCRD# 151604SPRING LAKE, NJ01/2013 - 08/2016

B

WESTMINSTER FINANCIAL SECURITIES,INC.CRD# 20677PROVIDENCE, RI12/2012 - 01/2013

B

COLUMBIA MANAGEMENT INVESTMENTDISTRIBUTORS, INC.CRD# 840BOSTON, MA05/2010 - 05/2012

B

www.finra.org/brokercheck User Guidance

1�2020 FINRA. All rights reserved. Report about JILL M. CODY.


https://adviserinfo.sec.gov/individual/summary/4333419

http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.








Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 08/05/2016SIEB

General Securities Representative Examination 06/01/2001Series 7B

Exam Category Date

State Securities Law Exams

Uniform Combined State Law Examination 12/08/2008Series 66B IA

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.







Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 01/2013 - 08/2016 CONCORDE INVESTMENT SERVICES, LLC 151604 SPRING LAKE, NJ

B 12/2012 - 01/2013 WESTMINSTER FINANCIAL SECURITIES,INC.

20677 PROVIDENCE, RI

B 05/2010 - 05/2012 COLUMBIA MANAGEMENT INVESTMENTDISTRIBUTORS, INC.

840 BOSTON, MA

B 10/2008 - 05/2010 COLUMBIA MANAGEMENT DISTRIBUTORS,INC.

30683 BOSTON, MA

B 03/2007 - 10/2008 PARK AVENUE SECURITIES LLC 46173 MANASQUAN, NJ

B 06/2001 - 09/2006 MERRILL LYNCH, PIERCE, FENNER &SMITH INCORPORATED

7691 NEW YORK, NY

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

01/2013 - Present CONCORDE ASSET MANAGEMENT, LLC INVESTMENTADVISORREPRESENTATIVE

Y TROY, MI, United States

01/2013 - Present CONCORDE INVESTMENT SERVICES,LLC

REGISTEREDREPRESENTATIVE

Y TROY, MI, United States

11/2012 - 01/2013 WESTMINSTER FINANCIAL SECURITIES FINANCIAL ADVISOR Y VANDALIA, OH, UnitedStates

05/2012 - 11/2012 UNEMPLOYED UNEMPLOYED N SPRING LAKE, NJ, UnitedStates

05/2010 - 05/2012 RIVERSOURCE FUND DISTRIBUTORS,INC.

MASS TRANSFER Y BOSTON, MA, United States







Employment History, continued

Employment Employer Name Investment RelatedPosition Employer Location

05/2010 - 05/2012 RIVERSOURCE INVESTMENTS MASS TRANSFER Y MINNEAPOLIS, MN, UnitedStates

10/2008 - 05/2012 COLUMBIA MANAGEMENT ADVISORS,LLC

REGISTEREDADVISOR

Y BOSTON, MA, United States

10/2008 - 05/2012 COLUMBIA MANAGEMENT GROUP PRODUCTSPECIALIST

Y BOSTON, MA, United States

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

1) BOSTON INVESTMENT PARTNERS. FINANCIAL ADVISOR. START DATE JANUARY 2013. DBA FOR SECURITIES BUSINESS. SPRINGLAKE, NJ.

2) INVESTMENT ADVISOR REP WITH CONCORDE ASSET MANAGEMENT. START DATE JANUARY 2013. INVESTMENT RELATED.SALES AND SERVICE. SPRING LAKE, NJ. FULL TIME DURING BUSINESS HOURS.

3) LIFE/HEALTH INSURANCE SALES THROUGH DBA BOSTON INVESTMENT PARTNERS. SPRING LAKE, NJ. NON INVESTMENTRELATED. 1-5 HOURS/MONTH DURING BUSINESS HOURS.

4) Concorde Insurance Agency; SPRING LAKE, NJ. Insurance Agent; provide insurance services to clients when appropriate. No client conflict.






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 0 3 0

Customer Dispute 1 9 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission, foreign financial regulatory body) for a violation ofinvestment-related rules or regulations; or (2) a revocation or suspension of a broker's authority to act as an attorney, accountant, or federalcontractor.

Disclosure 1 of 3

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Suspension

Date Initiated: 03/28/2019

Docket/Case Number: 17-02035

Employing firm when activityoccurred which led to theregulatory action:

N/A

Product Type: No Product

Allegations: Respondent Cody failed to comply with an arbitration award or settlementagreement or to satisfactorily respond to a FINRA request to provide informationconcerning the status of compliance.

Current Status: Final

Resolution: Letter

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?





https://www.finra.org/arbitration-mediation/arbitration-awards-online?search=17-02035


Resolution Date: 03/28/2019

Sanctions Ordered:


No

Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






Regulator Statement Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554,Respondent Cody is suspended on March 28, 2019, for failure to comply with anarbitration award or settlement agreement or to satisfactorily respond to a FINRArequest to provide information concerning the status of compliance.


(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: All capacities

Duration: Indefinite

Start Date: 03/28/2019

End Date:

Sanction 1 of 1

Sanction Type: Suspension






Regulator Statement Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554,Respondent Cody is suspended on March 28, 2019, for failure to comply with anarbitration award or settlement agreement or to satisfactorily respond to a FINRArequest to provide information concerning the status of compliance.

Disclosure 2 of 3

i



New Jersey Bureau of Securities

Sanction(s) Sought: Revocation


Docket/Case Number: N/A

URL for Regulatory Action: http://www.njconsumeraffairs.gov/Actions/Cody_Jill_Revocation_12DEC17.pdf


Concorde Investment Services, LLC (CRD No. 151604)and Concorde AssetManagement (CRD # 140367)


Allegations: CODY IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORYORGANIZATION EXPELLING HER FROM A SELF-REGULATORYORGANIZATION.


Resolution: Order


Sanctions Ordered:

Regulator Statement Having consented to a bar from association with any FINRA member, Cody haseffectively been expelled from a self-regulatory organization. This is cause,pursuant to N.J.S.A. 49:3-58(a)(2)(vi), to revoke Cody's agent and investmentadviser representative registrations. Based upon the foregoing, and pursuant toN.J.S.A. 49:3-58(a)(1), the revocation of Cody's registrations as an agent andinvestment adviser representative and certain exemptions is in the public interest.


No

RevocationOther: The agent and investment adviser representative registrations of Jill M.Cody be REVOKED; and further Cody is denied all exemptions contained inN.J.S.A. 49:3-50 subsections (a) paragraph 9, 10, and 11 and subsection (b); andfurther, the exemptions to the registration requirements provided by N.J.S.A. 49:3-56(b), N.J.S.A. 49:3-56(c) and N.J.S.A. 49:3-56(g) are hereby revoked.






Regulator Statement Having consented to a bar from association with any FINRA member, Cody haseffectively been expelled from a self-regulatory organization. This is cause,pursuant to N.J.S.A. 49:3-58(a)(2)(vi), to revoke Cody's agent and investmentadviser representative registrations. Based upon the foregoing, and pursuant toN.J.S.A. 49:3-58(a)(1), the revocation of Cody's registrations as an agent andinvestment adviser representative and certain exemptions is in the public interest.

Disclosure 3 of 3

i



FINRA

Sanction(s) Sought: Other: N/A


Docket/Case Number: 2016051816301


Concorde Investment Services, LLC


Allegations: Without admitting or denying the findings, Tramontano consented to the sanctionand to the entry of findings that she permitted another individual, who had beensuspended by FINRA, to engage in securities business while suspended. Thefindings stated that the individual chose not to inform most of his customers that hewas going to be suspended; instead, he told his customers that Tramontano wouldbe working with him. Over the next year, Tramontano was aware that the individualcontinued to engage in the securities industry while suspended by, among otherthings, communicating with customers, making securities recommendations tothem, and placing trades on their behalf. Indeed, the individual, by usingTramontano as the broker of record, was able to continue to act as a registeredrepresentative, unabated, in nearly all respects during his year-long suspension.


Resolution: Acceptance, Waiver & Consent(AWC)


No





https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2016051816301



Sanctions Ordered: Bar (Permanent)

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?









Capacities Affected: All Capacities

Duration: Indefinite

Start Date: 02/23/2017

End Date:

Sanction 1 of 1

Sanction Type: Bar (Permanent)






Customer Dispute - Award / Judgment

This type of disclosure event involves a final, consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the broker that resulted in an arbitration award or civil judgment for the customer.

Disclosure 1 of 1


Employing firm whenactivities occurred which ledto the complaint:

Allegations:

Concorde Investment Services, LLC; Westminster Financial Securities, Inc.;Westminster Financial Advisory Corp.

Cody was named in a customer complaint that asserted the following causes ofaction: violation of federal and state laws; negligence; breach of fiduciary duty;unsuitability; failure to supervise; mismanagement; fraud; deceit; and violation ofFINRA Rules 2111 and 2310.

Product Type: Other: Various securities

Alleged Damages: $144,000.00

Arbitration/Reparation Claimfiled with and Docket/CaseNo.:

FINRA - CASE #17-02035

Date Notice/Process Served: 08/01/2017

Arbitration Pending? No

Disposition: Award

Disposition Date: 11/20/2018

Disposition Detail: Respondent Cody is jointly and severally liable for and shall pay to Claimant thesum of $286,096.00 in compensatory damages.

Regulator Statement This award has not been paid by or on behalf of Jill Cody as of March 28, 2019.

Arbitration Information

iReporting Source: Firm


Allegations:

Westminster Financial Securities, Inc and Concorde

The client alleges fraud, deceit and mismanagement of accounts.











Disposition: Award to Customer


Monetary CompensationAmount:

$286,096.00


Individual ContributionAmount:

$286,096.00

Alleged Damages AmountExplanation (if amount notexact):

The exact damages are not stated, but the firm believes the alleged damages willexceed $5000.00

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA Arbitration

Docket/Case #: 17-02035



Allegations:

Westminster Financial Securities, Inc. and Concorde Investment Services, LLC.

Clients are alleging forgery, mismanagement, fraud and deceit in relation toinvestment made between 2010 to present.

Product Type: Other: Individual Retirement Account

Alleged Damages: $0.00

Customer Complaint Information


Damages are unspecified however firm has made a good faith determination thatdamages alleged exceed $5,000.00.

Is this an oral complaint? No

Is this a written complaint? Yes

Is this an arbitration/CFTCreparation or civil litigation?

No







Date Complaint Received: 11/28/2016

Complaint Pending? No

Status:

Status Date: 08/11/2017

Settlement Amount:




Disposition: Award to Customer



$286,096.00

Firm Statement Respondent Cody is jointly and severally liable for and shall pay to Claimant thesum of $286,096.00 in compensatory damages.




$286,096.00

Evolved into Arbitration/CFTC reparation (the individual is a named party)


FINRA








Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegationsof sale practice violations against the broker that resulted in a monetary settlement to the customer.

Disclosure 1 of 6

Reporting Source: Firm


Allegations:


Client is alleging fraud and unauthorized trading relating to activities occurring from2013 to 2016

Product Type: Other: Floating Rate Note




Disposition: Settled



$56,000.00



$0.00


damages unspecified


FINRA


Disclosure 2 of 6

i








Allegations:

Westminster Financial Securities and Concorde

The client alleges fraud, deceit, and mismanagement of accounts.








$62,500.00



$0.00


The exact damages are not stated, but the firm believes the alleged damages willexceed $5000.00


FINRA Arbitration




Allegations:


Clients are alleging mismanagement, fraud, deceit, and unauthorized trading inrelation to investments made between 2011 and 2016.











Status:


Settlement Amount: $165,000.00


$0.00


Settled


Damages unspecified but believed to exceed $5,000.




Yes

Arbitration/Reparation forumor court name and location:

FINRA


Filing date ofarbitration/CFTC reparationor civil litigation:

08/22/2017

Disclosure 3 of 6

i



Allegations:


Clients are alleging negligence, breach of fiduciary duty, suitability and churning,for activities occurring 2013 to 2016.

Product Type: Equity-OTC











Status:


Settlement Amount:







$75,000.00




$0.00







No


FINRA


Disclosure 4 of 6

i



Westminster Financial Securities, Inc.; Concorde Investment Services, LLC;Concorde Asset Management, LLC., IFS Securities, and IFS Advisory, LLC







Allegations:

Westminster Financial Securities, Inc.; Concorde Investment Services, LLC;Concorde Asset Management, LLC., IFS Securities, and IFS Advisory, LLC

Client is alleging fraud, misrepresentation and negligence, in relation toinvestments made from 2012 to 2016.

Product Type: Real Estate SecurityOther: general securities and investments




Status:


Settlement Amount:







$190,000.00





Alleged damages unknown but expected to exceed $5,000.00




No


FINRA








$190,000.00


$0.00

Disclosure 5 of 6

i



Allegations:

Westminster Financial Securities, Inc. and Concorde

The client alleges unsuitable recommendations, fraud, misrepresentation anddeceit.








$125,000.00



$0.00


The exact damages are not stated, but the firm believes the alleged damagesexceed $5000.00


FINRA Arbitration









Allegations:


Clients are alleging forgery, fraud, and negligence in relation to investments madefrom 2011 to 2016.





Status:


Settlement Amount:







$125,000.00









No


FINRA








$125,000.00


$0.00

Disclosure 6 of 6

i



Allegations:


Registered Reps [other firm employee] and Jill Cody received inaccurateinformation from Lincoln Financial. That information was passed unknowingly on tothe client. However, the client received corrected information from Lincoln in timeto correct any mistake but took no action to remedy the problem. [other firmemployee] and Jill did not receive the corrected information until weeks after theclient did and as a result did not have the opportunity themselves to fix the issueas the 30 day window had expired. Activities occurred from 2013-2015.

Product Type: Annuity-Variable




Status:


Settlement Amount:








No


FINRA











$77,500.00


$0.00


FINRA


iReporting Source: Broker


Allegations:


Registered Reps [other firm employee] and Jill Cody received inaccurateinformation from Lincoln Financial. That information was passed unknowingly onto the client. However, the client received corrected information from Lincoln intime to correct any mistake but took no action to remedy the problem. [other firmemployee] and Jill did not receive the corrected information until weeks after theclient did and as a result did not have the opportunity themselves to fix the issueas the 30 day window had expired. Activities occurred from 2013-2015.

Product Type: Annuity-Variable




Status:





No






Status:


Settlement Amount:



Arbitration Pending? Yes

Broker Statement [customer] requested that annuity funds be distributed immediately due to afinancial emergency. [other firm employee] or Jill were not agents of record on theannuity. However, in the interest of helping a client, they helped [customer]facilitate the withdrawal. The [customers] were informed by the Annuity companythat they violated a condition of a Rider on their policy. They were also informedthey had 30 days from the time of withdrawal to fix the error and restore the policy.The [customers] did nothing. The annuity company never informed [other firmemployee] or Jill of the violation prior to the distribution. Although they werealready aware of the violation, The [customers] did not inform [other firmemployee] or Jill of the violation until after the 30 day period expired. Although the[customers] feel that [other firm employee] or Jill should have known about therider rule prior to the withdrawal, there was no way for them to know withoutinformation from the annuity company or the [customers] as they did not sell the[customers] the policy. That information was never provided. The [customers] hadinvested in the policy in 2007.




FINRA







Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the individual broker that was dismissed, withdrawn, or denied; or (2) a consumer-initiated, investment-related written complaintcontaining allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, ormisappropriation, or conversion of funds or securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 2



Allegations:


Client is alleging that funds belonging to the client were taken by representative.Time period is unclear but we believe it covers 2012 to present.





Status:


Settlement Amount:



Closed/No Action






No

Disclosure 2 of 2

i








Allegations:


Client is alleging that funds belonging to the client were taken by representative.Time period is unclear but we believe it covers 2013 to present.





Status:


Settlement Amount:



Closed/No Action






No






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.

Disclosure 1 of 1



Allegations:


Petition to Vacate in Part and Confirm in Part FINRA Arbitration Award. Allegationsinclude negligence and breach of fiduciary duty relating to investments madebetween 2010 to present.




Litigation Pending? Yes

Civil Litigation Information


Damages unspecified

Type of Court: Federal Court

Name of Court: U.S. District Court for the District of Massachusetts

Location of Court: Boston, MA

Docket/Case #: 19-cv-10289






End of Report

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JILL M CODY - FINRAJILL M. CODY CRD# 4333419 This broker is not currently registered. Report Summary...

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