Former Broward County Resident Charged by SEC for Improper Investment Advisory and Brokerage Services Targeting African-American Christian Investors

Marcus K. Moon is a former Broward County resident who has been charged with offering investment advisory and brokering services without authorization to African-American Christians. Moon, an SEC registered broker-dealer and insurance agent, is accused of engaging in trading and entering into brokerage agreements with his employer without their knowledge or consent. He misrepresented his company, Increase Financial Strategies LLC as a brokerage firm, even though it was not authorized or licensed to purchase or sell stock on behalf of others. Moon’s actions caused investors to lose approximately $31,800. He received $3,000 from them as fees. Moon was charged by the SEC with violating antifraud and registration provisions. Moon has agreed to an order of injunction as well as disgorgement and prejudgment – $158 in interest – of $3,000, a civil penalty amounting to $31,080 plus interest – without admitting the allegations. The settlement is subject to court approval. The SEC investigation was part of Fraud Against Minority Groups Initiative, Miami Regional Office.

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SEC: What You Need to Know

Securities and Exchange Commission, or SEC for short, is an American regulatory agency which oversees and enforces federal security laws. Its main goal is to protect and promote investors, ensure fair and efficient markets and encourage capital formation. The SEC accomplishes this through regulation of the securities industry. It also ensures that companies provide accurate, timely information to their investors and takes legal action when fraud is detected. The commission oversees the stock exchanges, brokers of securities, investment advisors and other participants in the market to ensure that regulations are being followed. The SEC is responsible for maintaining the integrity and the transparency of U.S. Financial Markets.

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