Cody M. Keller

FINRA has permanently barred former Northwestern Mutual Investment Services and MML Investors Services broker Cody M. Keller (CRD No. 6669454) after he refused to provide requested documents and information in an investigation into alleged misconduct. Keller, who had been registered with FINRA since 2017, was permitted to resign from Northwestern Mutual in August 2023 after the firm discovered that he had paid a customer from his personal bank account, engaged in undisclosed outside business activities, and failed to provide truthful responses about his actions.

Following his departure from Northwestern Mutual, Keller briefly registered with MML Investors Services but was discharged in October 2024 for failing to disclose a prior regulatory action in Pennsylvania. The Pennsylvania Insurance Department had sanctioned Keller for misrepresenting investment details to customers and improperly using personal funds to cover a client request.

In February 2025, FINRA requested documents and information from Keller as part of its investigation into the circumstances surrounding his resignations. Keller acknowledged the request but refused to comply, violating FINRA Rules 8210 and 2010, which require brokers to cooperate with regulatory inquiries and uphold high ethical standards. As a result, he has been barred from associating with any FINRA member, effectively ending his career in the securities industry.

Although Keller is no longer a registered broker, FINRA retains jurisdiction over former brokers for misconduct that occurred while they were licensed. While this disciplinary action removes him from the industry, it does not compensate investors who may have suffered financial losses due to his actions. If you invested with Keller, Northwestern Mutual, or MML Investors Services and believe you were financially harmed, you may have legal options to recover your losses. Contact ChapmanAlbin today for a free consultation.