Karla Ranger Moons (also known as Karla Dawn Ranger), of Mobile, Alabama, a stockbroker previously associated with Concourse Financial Group Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Moons failed to respond to FINRA requests for information. Case No. 2022075810901 (July 17, 2023).
FINRA initially notified Moons in April and May of 2023 that she would be suspended for failing to respond to the regulator. The suspension went into effect from May 8, 2023, to July 16, 2023. Moons had three months from the notice of suspension to address FINRA’s concerns or otherwise request termination of the suspension. She did not request a termination within the allotted time, resulting in an automatic bar.
Moons was associated with Concourse Financial Group Securities Inc. in Mobile, Alabama, from January 3, 2007, to August 2, 2022. FINRA Public Disclosure shows that on July 28, 2022, Concourse Financial Group Securities Inc. discharged Karla Ranger Moons based upon allegations that Moons violated firm policy during the time that she failed to notify the firm that she was named trustee and executor in her customer’s last will and testament.
