Jill Cody (Jill Tramontano), Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses | Jill Cody (Jill Tramontano), Financial Advisor Barred from Securities Industry 

Jill Cody a/k/a Jill Tramontano was a formerly licensed financial advisor with Concorde Investment Services, LLC. FINRA reports that Jill Cody (Jill Tramontano) was barred from the securities industry on February 23, 2017. FINRA reports that Jill Cody (Jill Tramontano) consented to the sanction and to the entry of findings that Jill Cody (Jill Tramontano) permitted another individual, who had been suspended by FINRA, to engage in securities business while suspended. The findings stated that the individual chose not to inform most of his customers that he was going to be suspended; instead, he told his customers that Jill Cody (Jill Tramontano) would be working with him. Over the next year, Jill Cody (Jill Tramontano) was aware that the individual continued to engage in the securities industry while suspended by, among other things, communicating with customers, making securities recommendations to them, and placing trades on their behalf. Indeed, the individual, by using Jill Cody (Jill Tramontano) as the broker of record, was able to continue to act as a registered representative, unabated, in nearly all respects during her year-long suspension.  

FINRA also reports that an arbitration claim was filed involving Jill Cody (Jill Tramontano’s) conduct. According to FINRA, Jill Cody (Jill Tramontano) was named in a customer complaint that asserted the following causes of action: violation of federal and state laws; negligence; breach of fiduciary duty; unsuitability; failure to supervise; mismanagement; fraud; deceit; and violation of FINRA Rules 2111 and 2310.

If you lost any money on investments with Jill Cody (Jill Tramontano), you may be able to recover your losses from Concorde Investment Services, LLC. This is because Concorde Investment Services, LLC had a duty to supervise Jill Cody (Jill Tramontano).

If you lost money on investments with Jill Cody (Jill Tramontano) and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Concorde Investment Services, LLC concerning conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Jill Cody (Jill Tramontano) and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Contact Us Today!

[]
1 Step 1
reCaptcha v3
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder