richard g. cody

Massachusetts News: BOSTON, Richard G. Cody, Former Investment Advisor Sentenced for Fraud and Perjury

BOSTON, Ms. – A former investment advisor was sentenced yesterday in federal court in Boston for deceiving his former clients concerning the management of their retirement savings as well as lying to the U.S. Securities and Exchange Commission (SEC). Richard G. Cody, 44, of Jacksonville, Fla., was sentenced by U.S. District Court Judge F. Dennis … Continue reading Massachusetts News: BOSTON, Richard G. Cody, Former Investment Advisor Sentenced for Fraud and Perjury

SEC News: Defendant in SEC Enforcement Action Pleads Guilty to Investment Adviser Fraud and Lying to the SEC

Securities and Exchange Commission v. Richard G. Cody, et al., No. 16-cv-12510 (D. Mass.) United States v. Richard G. Cody, No. 17-cr-10291 (D. Mass.) WASHINGTON – On November 9, 2018, Richard G. Cody, a former investment adviser and broker representative whom the Securities and Exchange Commission charged with defrauding Massachusetts retirees, pled guilty to criminal … Continue reading SEC News: Defendant in SEC Enforcement Action Pleads Guilty to Investment Adviser Fraud and Lying to the SEC