FINRA charges Neal Moon over Boxx Technologies sales
In a complaint filed by the FINRA Department of Enforcement in July, 2016 Neal Moon of Dallas Texas, a former registered representative with Waddell & Reed was charged with participating in over two and a half million dollars of private securities transactions involving Boxx Technologies without providing notice to Waddell & Reed. The allegations include that Moon initially mislead Waddell & Reed’s investigators when they questioned him about the private securities transactions, then later recanted. Moon’s wife Natalie Fogiel Moon was also charged in the FINRA complaint.
The claim filed by FINRA is not final, and until the allegations have been proven in a court of law, no adverse inferences should be drawn.
Neal Moon’s registration and disciplinary history
In order to lawfully sell investments to the public, one must either be registered or exempt from registration. Neal Moon was registered with
According to FINRA’s CRD disclosure report, Neal Moon has been the subject of one customer complaint and one regulatory investigation.
The Law Office of David Liebrader practices exclusively in the field of investment loss recovery. For the past 23 years, we have dedicated our law practice to assisting investors who have been victims of investment fraud via fraudulent and unsuitable investment transactions. During that time we have recovered money for over one thousand individuals, pension plans, trusts and companies. The recoveries we have obtained via judgments, awards and settlements on behalf of our clients exceed $40,000,000.
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