| LONGBOAT GLOBAL FUNDS MANAGEMENT LLC |
NFA 05BCC00014 |
NFA ID: 0309313 |
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| 0263242 | BEASLEY, ROBERT JOSEPH | 09/29/2008 | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | 09/29/2008 |
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| 0263242 | BEASLEY, ROBERT JOSEPH | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER. | | | | • C.R.2-29(b)(2) - MISSTATEMT/OMISSION OF FACT PROMP | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • C.R.2-9 - SUPERVISION OF EMPLOYEES | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER. | | | | • C.R.2-29(b)(2) - MISSTATEMT/OMISSION OF FACT PROMP | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • C.R.2-9 - SUPERVISION OF EMPLOYEES |
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| 0263242 | BEASLEY, ROBERT JOSEPH | • BUSINESS CONDUCT COMMITTEE | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | • BUSINESS CONDUCT COMMITTEE |
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| 0263242 | BEASLEY, ROBERT JOSEPH | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | • GENERAL CONDUCT | | | | • SALES PRACTICE |
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| 0263242 | BEASLEY, ROBERT JOSEPH | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/12/2008 | | | | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 09/12/2008 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 09/12/2008 | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/12/2008 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 09/12/2008 |
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| COMPLAINT:
On September 13, 2005, NFA issued a Complaint charging Longboat and Beasley with misrepresenting to pool participants that notes were secure when they were unsecured, and omitting material information from the fund's offering memorandum and financial reports concerning the fund's investments in real estate developments. The Complaint also charged Longboat and Beasley with failing to supervise the activities of Mark Boucher. To view Complaint, go to Case Documents. For a copy of Complaint, contact NFA.
DECISION:
On September 12, 2008, Longboat was permanently barred from NFA membership and from being a principal of an NFA Member and Beasley was permanently barred from NFA membership and associate membership and from being a principal of an NFA Member. | | | |
| COMPLAINT:
On September 13, 2005, NFA issued a Complaint charging Longboat and Beasley with misrepresenting to pool participants that notes were secure when they were unsecured, and omitting material information from the fund's offering memorandum and financial reports concerning the fund's investments in real estate developments. The Complaint also charged Longboat and Beasley with failing to supervise the activities of Mark Boucher. To view Complaint, go to Case Documents. For a copy of Complaint, contact NFA.
DECISION:
On September 12, 2008, Longboat was permanently barred from NFA membership and from being a principal of an NFA Member and Beasley was permanently barred from NFA membership and associate membership and from being a principal of an NFA Member. | | |
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| 0263242 | BEASLEY, ROBERT JOSEPH | COMPLAINT | | 0263242 | BEASLEY, ROBERT JOSEPH | DECISION | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | COMPLAINT | | 0309313 | LONGBOAT GLOBAL FUNDS MANAGEMENT LLC | DECISION |
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