Cody Keller Barred by FINRA for Alleged Failure to Provide Information

Cody Keller (CRD #: 6669454), a broker formerly registered with MML Investors Services, has been barred by FINRA, according to his BrokerCheck record, accessed on May 15, 2025. Details regarding his resignation are provided below. 

Bar by FINRA

On March 19, 2025, Cody Keller consented to the entry of findings that he allegedly failed to provide information and documents requested as part of a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), this investigation allegedly concerned the Forms U5 (Uniform Termination Notice for Securities Industry Registration) filed by Northwestern Mutual Investment Services and MML Investors Services.

Northwestern Mutual Investment Services allegedly disclosed that Cody Keller had paid a client from his personal bank account and engaged in an unapproved outside business activity. MML Investors Services allegedly stated that he had failed to disclose a regulatory action taken by the State of Pennsylvania.

The AWC concluded that these allegations constituted violations of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

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

Sanctions

Cody Keller consented to a permanent bar by FINRA. It took effect on March 19, 2025. You can read the full AWC here.

Other business activities

Cody Keller’s detailed BrokerCheck page discloses one outside business activity: he is an insurance producer offering life, disability and long term care (LTC) insurance.

Termination from MML Investors Services

On September 20, 2024, Cody Keller was fired from MML Investors Services after allegedly failing to disclose a regulatory action by the State of Pennsylvania on his Form U4 (Uniform Application for Securities Industry Registration or Transfer).

Pennsylvania Regulatory Action

On April 25, 2024, the Insurance Department of the Commonwealth of Pennsylvania alleged that Cody Keller misrepresented the benefits, advantages, conditions/terms of an insurance policy and published or circulated untrue, deceptive, or misleading, advertisement, announcement, or statement.

Cody Keller consented to cease and desist from future violations of Pennsylvania statutes and to pay a fine of $1,000.

Resignation from Northwestern Mutual Investment Services

On August 7, 2023, Cody Keller was permitted to resign from Northwestern Mutual Investment Services following allegations that he paid a customer from his personal bank account.

The firm alleged this appeared to be an attempt to avoid a customer complaint, for which he was previously reprimanded. He also allegedly engaged in an undisclosed and unapproved outside business activity. 

Finally, the firm alleged Cody Keller did not provide factual responses when asked about his actions. 

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose to their firm any business activities they engage in outside it, including any compensation they expect to receive.

Background Information 

Cody Keller has passed the following exams: 

• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Cody Keller has registered with the following firms: MML Investors Services (CRD #:10409) and Northwestern Mutual Investment Services (CRD #:2881). 

Kurta Law Can Help

If you worked with Cody Keller and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.