Jill Cody: One FINRA Sanction and Six Pending Customer Complaints

Jill CodyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that former New Jersey-based Concorde Investment Services broker/adviser Jill Cody has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Cody (CRD# 4333419).

Jill Cody has spent fourteen years in the securities industry and was most recently registered with Concorde Investment Services in Spring Lake, New Jersey (2013-2016). Previous registrations include Westminster Financial Securities in Providence, Rhode Island; Columbia Management Investment Distributors in Boston, Massachusetts; Park Avenue Securities in Manasquan, New Jersey; Merrill Lynch in New York, New York; Concorde Asset Management in Livonia, Michigan; and Westminster Financial Advisory in Dayton, Ohio. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, she has received one FINRA sanction and six pending customer complaints.

In February 2017 FINRA sanctioned her following allegations she permitted and individual who was under suspension by FINRA to conduct securities business. According to FINRA’s findings: “the individual chose not to inform most of his customers that he was going to be suspended; instead, he told his customers that Tramontano would be working with him. Over the next year, Tramontano was aware that the individual continued to engage in the securities industry while suspended by, among other things, communicating with customers, making securities recommendations to them, and placing trades on their behalf. Indeed, the individual, by using Tramontano as the broker of record, was able to continue to act as a registered representative, unabated, in nearly all respects during his year-long suspension.” She was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2017 a customer alleged Jill Cody, while employed at Concorde Investment Services and Westminster Financial Securities, misappropriated funds. The customer is seeking unspecified damages in the pending complaint.

In 2016 the Securities and Exchange Commission launched an investigation into allegations she violated federal securities laws. The investigation remains pending.

In 2016 a customer alleged Jill Cody, while employed at Merrill Lynch and other firms, was a related party to the misappropriation of funds and forgery. The customer is seeking unspecified damages in the pending complaint.

In 2016 a customer alleged Jill Cody, while employed at Concorde Investment Services and Westminster Financial Securities, took funds. The customer is seeking unspecified damages in the pending complaint.

If you or someone you know has lost money investing with Jill Cody, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.