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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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