Neal Moon Charged by FINRA over Boxx Technologies Sales

FINRA charges Neal Moon over Boxx Technologies sales

Neal Moon Charged by FINRA

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

10/2009 – 10/2015
10/2007 – 03/2009

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.

When investors contact our firm they can expect prompt attention, and a detailed analysis of their issues.  Typical claims that we are asked to review  involve “unsuitability (where a financial advisor makes investment recommendations that are inconsistent with a customer’s investment objectives), claims for “churning” (where a broker enters into an excessive number of trades for the purpose of generating commissions), claims involving illiquid investments such as private placements (I.e., real estate investment trusts, limited partnerships, equipment leasing and oil and gas drilling programs) as well as claims for violations of state securities laws, which often provide investors remedies like attorney’s fees and interest, if they are successful on the claim.

If you suspect that you have been the victim of investment fraud, or had a financial advisor recommend unsuitable investments to you, call us today for a free, confidential consultation at (702) 380-3131.

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