Neal Charles Moon, and Natalie E. Fogiel Moon, of Dallas, Texas, stockbrokers formerly registered with Waddell & Reed, have been sanctioned by Financial Industry Regulatory Authority (FINRA) pursuant to an Office of Hearing Officers Order Accepting Offer of Settlement containing findings that the Moons, inter alia, engaged in private securities transactions. Department of Enforcement v….
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)….