Nex Systems
Type not stated

DIRK ALLEN TAYLOR

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/05/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dirk Allen Taylor San Antonio, TX, Respondent. DECISION Complaint No. 20070094468 Dated: August 5, 2011 Respondent Dirk Allen Taylor: (1) misrepresented information to his employer regarding the delivery of preliminary prospectuses to nine of his customers who were expected to purchase shares of an initial public offering, in violation of NASD Rule 2210; (2) failed to

    05/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DIRK ALLEN TAYLOR (CRD No. 1008197), Respondent. Disciplinary Proceeding No. 20070094468 Hearing Officer-LBB AMENDED HEARING PANEL DECISION May 21, 2010 For failing to deliver preliminary prospectuses to customers who were expected to purchase shares of the initial public offering of a closed-end mutual fund, in violation of SEC Rule 15c2-8 and NASD Conduct Rule 2110, and causing his firm's books

    Reference 2007009446801data-portal.finra.orgfinra.orgdata-portal.finra.org

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