{"id":1522,"date":"2017-08-16T22:47:57","date_gmt":"2017-08-17T02:47:57","guid":{"rendered":"http:\/\/www.elderfinancialfraudattorneys.com\/?p=1522"},"modified":"2018-10-04T15:51:50","modified_gmt":"2018-10-04T19:51:50","slug":"new-jersey-broker-richard-grant-cody-may-facing-serious-penalties","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/new-jersey-broker-richard-grant-cody-may-facing-serious-penalties\/","title":{"rendered":"New Jersey Broker Richard Grant Cody May Be Facing Serious Penalties"},"content":{"rendered":"<p><img decoding=\"async\" class=\"alignleft\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/08\/Broker-Richard-Grant-Cody.jpg\" alt=\"Broker-Richard-Grant-Cody.jpg\" \/><\/p>\n<h2 style=\"text-align: justify;\">The Spring Lake broker has been involved in numerous customer disputes and could receive sanctions from both FINRA and the SEC<\/h2>\n<p style=\"text-align: justify;\">Richard Grant Cody has been a broker for 18 years, during which time 16 customer disputes have been levied against him. As a result of the most recent claims, he is also currently being investigated by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).<\/p>\n<p style=\"text-align: justify;\">The numerous charges against Cody include misrepresentation, unauthorized trading, and even theft. But one of the most egregious allegations concerns some of his former retired clients. In late 2016, the SEC filed a complaint against Cody in a Boston federal court alleging that he defrauded at least three clients over several years.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/new-jersey-broker-richard-grant-cody-may-facing-serious-penalties\/\"  title=\"Continue Reading New Jersey Broker Richard Grant Cody May Be Facing Serious Penalties\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Spring Lake broker has been involved in numerous customer disputes and could receive sanctions from both FINRA and the SEC Richard Grant Cody has been a broker for 18 years, during which time 16 customer disputes have been levied against him. As a result of the most recent claims, he is also currently being [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":1523,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[203,1135],"class_list":["post-1522","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog","tag-broker","tag-richard-grant-cody"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Richard Grant Cody : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"Richard Grant Cody is currently being investigated by the SEC and FINRA for misrepresentation, unauthorized trading, theft, and elder financial fraud.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/new-jersey-broker-richard-grant-cody-may-facing-serious-penalties\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Richard Grant Cody : Elder Financial Fraud Alert\" \/>\n<meta name=\"twitter:description\" content=\"Richard Grant Cody is currently being investigated by the SEC and FINRA for misrepresentation, unauthorized trading, theft, and elder financial fraud.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/08\/Broker-Richard-Grant-Cody.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Richard Grant Cody : Elder Financial Fraud 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