Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Colorado-based Securities America broker/adviser Scott Cody has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cody (CRD# 2941734).
Scott Cody has spent 20 years in the securities industry and has been registered with Securities America in Denver, Colorado since 2008. Previous registrations include Hornor Townsend & Kent in Denver, Colorado (2004-2008) and New England Securities in New York, New York (1997-2004). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 9, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 22, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 4, 1997. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Colorado, Georgia, Idaho, Illinois, Iowa, Maryland, Minnesota, New Mexico, New York, Ohio, Utah, Virginia, Washington and Wisconsin.
According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.
In October 2017 a customer alleged Scott Cody, while employed at Securities America, sold an unsuitable variable annuity product for the purpose of increasing his commissions. The customer is seeking unspecified damages believed to exceed $5,000 in the pending complaint.
In 2008 a customer alleged Scott Cody, while employed at Securities America, failed to follow his instructions to liquidate the account before a wire transfer. The complaint settled for more than $35,500.
If you or someone you know has lost money investing with Scott Cody, call 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.