(CRD #6669454, Harrisburg, Pennsylvania)

March 19, 2025 – An AWC was issued in which Keller was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Keller consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to Form U5s filed by his member firms. The findings stated that one of the firms permitted Keller to resign after it discovered that he paid a customer from his personal bank account in what appeared to be an attempt to avoid a customer complaint, engaged in an undisclosed and unapproved OBA, and did not provide factual responses when asked about his actions and activities. The second firm discharged Keller for failing to disclose a regulatory action with the state of Pennsylvania on his Uniform Application for Securities Industry Registration or Transfer (Form U4). (FINRA Case #2023079675401) If you have suffered losses as a result of Cody Michael Keller's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Cody Michael Keller. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.