Litigation: SEC Vs. Richard G. Cody
February 19, 2020
February 19, 2020
WASHINGTON, Feb. 19 -- The Securities and Exchange Commission issued the following litigation release (No. 16-cv-12510; D. Mass.):
On December 23, 2019, a federal district court in Massachusetts entered a final judgment against Richard G. Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees.
According to the SEC's complaint, filed on December 12, 2016, Cody defrauded at least three of his retired clients over a twelve-year per . . .
On December 23, 2019, a federal district court in Massachusetts entered a final judgment against Richard G. Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees.
According to the SEC's complaint, filed on December 12, 2016, Cody defrauded at least three of his retired clients over a twelve-year per . . .