Articles Tagged with Scott Cody

Stoltmann Law Offices is investigating Scott Cody, a Securities America broker in Denver, Colorado. Mr. Cody allegedly sold an unsuitable variable annuity product for the purpose of increasing his commissions. He also failed to follow instructions to liquidate an account before a wire transfer. These are against securities laws, and internal firm rules. Mr. Cody, according to the Financial Industry Regulatory Authority (FINRA), was previously registered with New England Securities in New York, New York from September 1997 until May 2004 and Hornor, Townsend & Kent in Denver, Colorado from May 2004 until August 2008. He is currently registered with Securities America in Denver, and has been since July 2008. He has two customer disputes against him.

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