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SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

A federal district court in Massachusetts entered a final judgment against Richard Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees. According...

Former Broker Pleads Guilty to Fraud and Lying to the SEC

Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...