Proceeding Number 20070094468

Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor

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 and records to be inaccurate by submitting false documents to the firm about delivery of the preliminary prospectuses, in violation of NASD Conduct Rules 3110 and 2110, Respondent Dirk Allen Taylor is fined $5,000 and suspended in all capacities for 60 days.

 

This decision has been appealed.

View Decision (PDF 77 KB)