Tag Archives: BOXX Technologies

Waddell Reed Stockbrokers Charged With Selling Away

February 13, 2017  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Waddell Reed Stockbrokers Charged With Selling Away

Neal Charles Moon, and Natalie E. Fogiel Moon, both of Dallas, Texas, and stockbrokers formerly registered with Waddell & Reed, have been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that the individuals effected unauthorized private securities transactions. Department of Enforcement v. Moon et al., No. 2015046926801(July 8, 2016). […]

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