DID RICHARD GRANT CODY CAUSE YOU INVESTMENT LOSSES?

Richard Cody Formerly With IFS Securities Has 24 Customer Complaints For Alleged Broker Misconduct

Who is Richard Cody formerly with IFS Securities?

Richard Cody (CRD #2794558) who was formerly registered with IFS Securities and located in Spring Lake, New Jersey. is a subject of one of our many securities industry sales practice abuse investigations. Prior to IFS Securities, Richard Cody was associated with Concorde Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Cody has had his own share of regulatory problems. He has been convicted of a false declaration under oath and investment adviser fraud. The SEC filed a civil action that resulted in Richard Cody being enjoined and ordered to pay disclosure.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Richard Cody Customer Complaints

Richard Cody has been the subject of 24 customer complaints that we know about to recover investment losses. One of the customer complaints went to arbitration and resulted in an arbitration award in favor of the investor. Seventeen of the customer complaints settled in favor of the investments. Four customer complaints were denied by his former employers and the investors took no further action. There are currently 2 actions still pending.

Allegations Against Richard Cody

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Unauthorized trading.
• Misrepresentation of the account balance.
• Misappropriation.
• Unsuitable investment recommendations.
• Forgery, fraud, and negligence.
• Misappropriation and forgery.
• Negligence, breach of fiduciary duty, suitability, and churning of customer’s accounts

Richard Cody Red Flags & Your Rights As An Investor

Of course, Richard Cody did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Cody at IFS Securities and Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Cody has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IFS Securities and Concorde Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At IFS Securities Due To Richard Cody

If you have questions about IFS Securities, Concorde Investment Services, LLC and/or Richard Cody and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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