Neal Charles Moon

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. NEAL CHARLES MOON, CRD No. 3271716; AND, NATALIE E. FOGIEL MOON, CRD No. 5010360, RESPONDENT. DISCIPLINARY PROCEEDING No. 2015046926801 COMPLAINT The Department of Enforcement alleges: INTRODUCTION 1. From February 2012 to August 2015, Respondent Neal Charles Moon ("Moon") participated in nine private securities transactions and Natalie E. Fogiel Moon ("Fogiel"), his wife, participated in six
04/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. NEAL CHARLES MOON, CRD No. 3271716; AND, NATALIE E. FOGIEL MOON, CRD No. 5010360, Respondents. Disciplinary Proceeding No. 2015046926801 Hearing Officer CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 4, 2017 INTRODUCTION Disciplinary Proceeding No. 2015046926801 was filed on July 8, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2015046926801data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3271716

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