Category Archives: Moody Securities

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension

Dawsonville, Georgia

According to FINRA records,  Timothy C. Moody   a stock broker  employed by Moody Capital Solutions , discloses a recent regulatory action.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In February 2016, Timothy C. Moody, without admitting or denying the findings, consented to a fine of $5,000 and a three month suspension for willfully failing to timely amend FINRA reporting forms to disclose that he had filed a chapter 7 bankruptcy petition in the U.S. Bankruptcy Court in the Northern District of Georgia. Suspension is from 3/21/2016-6/20/2016.

Moody has been employed by Moody Capital Solutions since 10/2006.. Prior to that his employment includes Midsouth Capital and Berthel, Fisher & Co.

If you have questions about an account handled  by Timothy C. Moody, call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX

March 27, 2015, Houston, Texas 

Moody Securities, LLC,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules  governing underwriting compensation by acting as the wholesaling dealer-manager of the offering of interests in a real estate investment trust (REIT), in which the underwriting compensation exceeded 10% of the offering’s gross proceeds. FINRA found that total underwriting expenses were nearly 24% of the gross proceeds of the offering.

The findings state that the company’s written supervisory procedures were inadequate.

Moody Securities  was censured and ordered to pay $350,000 to the Moody National REIT. 

FINRA Case # 2012032734401

Moody Securities has been a FINRA member since 2009 and is located in Houston, Texas. They have 11 registered representatives, no branch offices and are primarily engaged in acting as a wholesaling dealer-manger for two securities offerings by Moody National REIT I.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870