July 2016- Dallas, TX
FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from 2/2012-8/2015 they participated in nine private securities transactions that raised $2.64 million without providing their employer Waddell & Reed with written notice as required by NASD and FINRA rules.
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.
The complaint also alleges that Neal Moon lied to an investigator from Waddell & Reed about his participation in the private securities transactions in violation of FINRA Rule 2010.
The securities set forth in the FINRA complaint are:
- Boxx Technologies
- NMN Boxx
- Total Operating LLC
- Hoffbrau Steaks
- CCBRAU Ltd.
Neal Moon was registered with Waddell & Reed from 10/2009-10/2015 when he was permitted to resign following his admission that he participated in private securities transactions.
If you have questions about an account in an account handled by Neal Charles Moon, contact us to discuss your legal options.
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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