USA: Disciplinary action filed against individuals and company
Posted by nileshkokane on 28 November, 2011
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This item was filled under [ Financial Regulators, USA ]
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Direct Capital Securities, Inc. of Austin, Texas and Markel Dashiell Petty aka Markel Steven Lewis of Santa Monica, California and Clay Harriss Womack of Austin, Texas were named as respondents in a FINRA complaint alleging that the firm distributed several supplements to an issuer’s fraudulent private placement offering memorandum; some of the earlier supplements, among other things, extended the closing date of the offering.
The original article can be found at Financial Industry Regulatory Authority.
