|
|
|
Legal Notice
Direct Capital Securities, Inc., Inc. and its affiliates, subsidiaries, officers, directors and employees
("Direct Capital Securities, Inc.") Internet site(s) shall not constitute an offer to sell or the solicitation
of any offer to buy securities in any state in which such offer, solicitation or sale would be
unlawful under the securities laws of such state.
We are not providing the information based on the customers' particular financial situations or needs.
We do not take into account individual investors' circumstances when posting offerings or sending
bulk e-mail notices, and the information provided is not intended to represent "recommendations" by us
regarding particular investments to particular customers.
Direct Capital Securities, Inc. does not provide investment, tax, legal, or accounting advice (and information
provided herein should not be construed as such). Direct Capital Securities, Inc. does not recommend any investments
or the suitability of any investment or investment strategy. You are responsible for all of your own
investment decisions.
Securities offerings are made through our wholly owned subsidiary broker dealer Direct Capital
Securities, Inc., which is a FINRA and SIPC member. Direct Capital Securities, Inc. and/or Direct Capital
Securities, Inc. may collect a fixed fee or a success fee, or both for listing an offering on
its website. Such fees may be paid in equity, cash or both.
Directors, Officers and Employees of Direct Capital Securities, Inc. as well as Direct Capital Securities, Inc. (and affiliates
of Direct Capital Securities, Inc.) may from time to time invest directly or indirectly in listed companies that
fit their investment profile and risk tolerance. We expect such positions taken by Directors and/or
Officers to be disclosed on the website or in the offering documents. Investing in private placements
is speculative and highly risky and is only appropriate for qualified persons who are Accredited
Investors (as defined by the SEC), and who can evaluate the risks associated with private placements and
bear the financial risks. Private placements (securities that are not registered - commonly known as
"restricted securities") may not be sold or transferred unless they become registered or are subject to
a bona fide exemption from registration, such as Rule 144 under the Securities Act of 1933. Direct Capital Securities, Inc. is not recommending or endorsing any particular offering by making it available. Your decision
to invest in any offering made available on this site should be based upon your independent review and
consideration of your investment objectives, risk tolerance, financial condition and liquidity needs.
Any solicitation will be made solely by offering documents such as a prospectus or private placement
memorandum. Opinions and estimates constitute the judgment of the issuer and are subject to change
without notice.
Direct Capital Securities, Inc. assumes no responsibility for interpretation, accuracy or completeness of the
information. Each reader is solely liable for any use such reader may make of this information. Direct Capital Securities, Inc. provides links to third party web site(s) solely as a courtesy to our visitors and
makes no representations as to the accuracy of the information set forth on third party web sites: such
content is the sole responsibility of the provider.
Direct Capital Securities, Inc. and its affiliates are not liable for any harm caused by the transmission, through
accessing the services or information on this site, of a computer virus, or other computer code or
programming device that might be used to access, delete, damage, disable, disrupt or otherwise
impede in any manner the operation of the site of any user's software, hardware, data or property.
You warrant and represent that the information that you supply in your Registration (and any other
information Direct Capital Securities, Inc. may require) is fully accurate and truthful, and that no one except
the Account holder(s) listed on the Account Application has an interest in the Account. You represent
that you are an adult age twenty-one (21) years or older. You also expressly authorize Direct Capital
Markets to make inquiries and obtain reports concerning your credit and financial standing and, if you
are married and live in a community property state, the credit and financial standing of your spouse.
You agree that you will indemnify, defend, and hold harmless Direct Capital Securities, Inc. and its affiliates,
directors, officers, agents, consultants, and employees from and against any claims, liability, costs,
damages, expenses, or losses any of them may incur (including, but not limited to, attorney's fees) as a
result of your violation of this agreement (this Legal Disclaimer Statement). Specifically, but not
exclusively, you understand that we will be relying on the accuracy and truth of the answers to the
questions we ask you. You agree to indemnify Direct Capital Securities, Inc. (and any other parties that rely on
such statements, such an issuer) for any false or inaccurate statements or answers you provide. This also
includes any violation of state or federal securities laws or regulations, any third party's rights,
including but not limited to infringement of any copyright, violation of any proprietary right, and
invasion of any privacy rights.
You are responsible for reviewing the offering materials for the offering for which you anticipate
placing an Order. The offering material for any Direct Capital Market's listed offering contains
important information about the issuing Direct Capital Securities, Inc. and the offering. You should read the
memorandum for any offering carefully before you decide to invest. Direct Capital Securities, Inc. may deem at its
sole discretion that you are not eligible to participate in a particular offering because, based on the
information you provide, you are not an "accredited investor" or for any other reason. Direct Capital Securities, Inc. provides services and this web site on an "as is" and "as available" basis. Direct Capital
Markets makes no representations or warranties of any kind, express or implied, as to the services or the
operation of the web site and as to the information, content, materials or products included on this
web site. To the full extent permissible by applicable law, Direct Capital Securities, Inc. disclaims all
warranties, express or implied. Direct Capital Securities, Inc. will not be liable for any damages of any kind
arising from the use of the web site, including but not limited to direct,
indirect, incidental, punitive, and consequential damages.
In the course of your review, you and your representative(s) may receive confidential information about
possible investment(s) or financing relationship(s) of certain companies (each, a Discloser). You agree to
explicitly or implicitly affirm this Agreement for each specific Discloser
prior to the receipt of he Discloser's confidential information. For
purposes of this Agreement, the term "confidential information" means all
oral or written information provided by the Discloser about its business
plan, prospects, operations, financial structure, and assets, as well as
notes regarding the Discloser. However, confidential information does not
include: information that is or becomes publicly available (other than as a
breach of this Agreement by you or your "representative(s)"); information
that is or becomes available to you from a source other than the Discloser,
provided you are not aware that this source was bound by a confidentiality
agreement with respect to the information; and/or information that you or
your representative(s) know prior to disclosure by the Discloser. The term
"representative" means directors, officers, employees, advisors,
contractors and agents. You are fully responsible for the performance
required under this Agreement by your representatives.
Therefore, you agree to the following conditions: You will maintain
confidentiality of confidential information, including: (1) preserving the
confidentiality of the confidential information you receive as you would
preserve the confidentiality of your own confidential information; (2) not
disclosing confidential information to third parties, except to your own
representative(s) on a "need-to-know" basis after they have agreed to
maintain the confidentiality of the information; and (3) using the
confidential information disclosed to you solely in your own consideration
of whether to enter into an investment or financing relationship with the
Discloser, and not using it in other ways either for your benefit or the
benefit of a third party. You will return confidential information at the
written request of the Discloser, including all copies of confidential
information and, if lost or destroyed, you will provide written
certification regarding the loss or destruction of these materials. You
further agree that no license is granted and that in receiving confidential
information, you have no proprietary rights, by license or other means, to
the confidential information itself or to any associated copyrights,
patents, patent applications, trademarks, or any other proprietary rights.
You will provide injunctive relief to the Discloser. You will give the
Discloser prompt and prior written notice of subpoena, and you will
disclose only the confidential information that you are legally required to
disclose.
PRIVACY POLICY
Direct Capital Securities, Inc. and its employees and affiliates ("Direct Capital Securities, Inc.")
are committed to safeguarding your privacy online. Please read
the following policy to understand how your personal information will be
treated as you make full use of our many offerings. This policy may change
from time to time, so please check back periodically. This policy will let
you know:
Password Protection
Visitors to the public areas of our web site can navigate through the
information without providing a personal ID or password.
We restrict the sensitive Direct Capital Securities, Inc. information to Direct Capital
Markets members who have registered with us and who meet both the SEC
requirements and our eligibility requirements:
Use of Cookies
For our public web site, we may use cookies to track where a visitor comes
to us from - specifically, from which outside web site. The cookie is
stored in the user's browser until the user signs out or the user clears
the browser of existing cookies.
For the private Direct Capital Securities, Inc. sites, we use cookies to track each
time a member logs in to view restricted material. The log-in cookie is
only deleted when a member logs off. No other company has access to any
personal information recorded through Direct Capital Securities, Inc. embedded
cookies.
Internet Provider (IP) Addresses
For our public web site, we log the address for each visitor's Internet
provider (AOL, Earthlink, Yahoo, and so on) and what pages the visitor
navigates to while exploring our web site. The identity of all visitors
remains anonymous.
For the private Direct Capital Securities, Inc. site, we log the IP address each time a
member logs on, and we record the pages accessed during that session.
Information Gathering
Types of Information
Direct Capital Securities, Inc. does not gather information about people who visit our
public web site, other than their IP address and, when applicable, the Direct Capital Securities, Inc. ad that brought them to us (see "Internet Provider Address"
and "Use of Cookies" above).
To become a member of Direct Capital Market's private marketplace,
applicants must provide some personal and financial information.
Information Sharing
Any account and personal data we gather is meant to fulfill legal and
regulatory requirements, verify the identity and eligibility requirements
of applicants, help us determine the kinds of offerings and services our
members want, inform potential investors (or their advisors) about our
investment opportunities and deliver the services we promise. As a result,
we do not sell or rent our membership lists and email addresses to
unaffiliated outside firms. We may, however, share information with
affiliated firms in the following ways:
We may share personal and/or account information with our partners
and other affiliations to facilitate record keeping and deliver the
services promised to customers.
In order to appropriately follow-up with our members, we share
information with the issuing firms when members have either placed an
indication of interest for their offering or have reviewed certain
information regarding their offering.
Use of information
The information we gather from Direct Capital Securities, Inc. members is used in the
following ways:
We use contact information to send members notices about pending
offerings, the status of existing offerings, updates on offerings members
have invested in, Virtual Roadshows for offerings, launches of new
"markets", policy changes, and relevant promotions. Members can opt out of
receiving deal-related emails by asking to be removed from our email
offering list.
We use unique identifiers to verify the applicant's identity.
We use financial information to verify that the applicant meets
our eligibility requirements and SEC accreditation requirements.
We use the information for marketing purposes.
We use the demographic information to help develop member services
and to evaluate potential investment opportunities based on the portfolio
goals of our members.
We may be required by law, or we may provide information as
permitted by law, without your consent, in the following circumstances:
To respond to a subpoena or court order, judicial process, or
regulatory authorities
To report to consumer reporting agencies
In connection with a proposed or actual sale, merger, or transfer
of all or a portion of an Direct Capital Securities, Inc. business or operating unit
To protect against fraud
We disclose information to nonaffiliated companies that work with
us in providing financial and other services to you. For example, we may
provide information to nonaffiliated companies that prepare and mail
periodic statements, transaction confirmations and other reports. These
companies acting on our behalf are required to keep your personal
information confidential.
The Company discloses nonpublic personal information to
nonaffiliated third parties as permitted or required by law. These parties
include government/regulatory organizations such as the Internal Revenue
Service (IRS) and the Securities and Exchange Commission (SEC). Disclosures
for which you have provided your consent are also permitted.
How we protect your privacy:
We maintain physical, electronic, and procedural safeguards that comply
with federal standards to guard your nonpublic personal information. This
is why you must enter a unique User Name and Password each time you access
your account information online.
Access to your nonpublic personal information is limited to those employees
who need to know that information to provide products or services to you,
such as customer service personnel and such other people as described in
this statement.
You can take steps to maximize your security online and to protect your
confidential information. NEVER share your Password with anyone, and change
it periodically. You can change your User Name and Passwords at any time
through the Change Passwords link under the Member Services link. When
using the website, you should always exit by using the "Sign Out" button
located at the top of every web page or close your browser completely.
|
|
|
|
|
|
