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.
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