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Cody Coffey Subject of a FINRA Bar

Cody Coffey (CRD #: 5748127) has been barred by FINRA. He previously registered with AllState Financial Services. This regulatory bar appears on his BrokerCheck record, accessed on October 11, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Actions 

On August 5, 2024, Alabama barred Cody Coffey following allegations that he misused client funds. 

He was barred by FINRA on November 10, 2023, following allegations that he failed to respond to FINRA requests for information. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

Background Information 

Cody Coffey has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

Kurta Law Can Help 

If you worked with Cody Coffey and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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