| LAKE DOW CAPITAL LLC |
NFA 06BCC00003 |
NFA ID: 0320066 |
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| 0306409 | EDWARDS, TY | 05/18/2006 | | 0320066 | LAKE DOW CAPITAL LLC | 05/18/2006 |
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| 0306409 | EDWARDS, TY | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-2(h) - EMBEZZLE/STEAL CUSTOMER PROPERTY | | | | • C.R.2-2(c) - FALSE REPORTS MADE TO A CUSTOMER | | 0320066 | LAKE DOW CAPITAL LLC | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(h) - EMBEZZLE/STEAL CUSTOMER PROPERTY | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(c) - FALSE REPORTS MADE TO A CUSTOMER | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS |
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| 0306409 | EDWARDS, TY | • BUSINESS CONDUCT COMMITTEE | | 0320066 | LAKE DOW CAPITAL LLC | • BUSINESS CONDUCT COMMITTEE |
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| 0306409 | EDWARDS, TY | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0320066 | LAKE DOW CAPITAL LLC | • GENERAL CONDUCT | | | | • SALES PRACTICE |
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| 0306409 | EDWARDS, TY | • PERMANENT BAR FROM NFA MEMBERSHIP | 05/03/2006 | | 0320066 | LAKE DOW CAPITAL LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 05/03/2006 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On February 28, 2006, NFA issued a Complaint charging Edwards and Lake Dow with defrauding commodity futures customers and providing customers with false activity statements; conversion of investor funds; providing false or misleading information to NFA; and failure to cooperate in an NFA investigation. The Complaint also charged Lake Dow with failure to prepare, distribute and maintain required reports and records.
DECISION -
On May 3, 2006, Edwards' NFA associate membership and principal status with any and all NFA Members was terminated and he was permanently barred from membership, associate membership or principal status with any NFA Member. Lake Dow's NFA membership was terminated and Lake Dow was permanently barred from NFA membership. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On February 28, 2006, NFA issued a Complaint charging Edwards and Lake Dow with defrauding commodity futures customers and providing customers with false activity statements; conversion of investor funds; providing false or misleading information to NFA; and failure to cooperate in an NFA investigation. The Complaint also charged Lake Dow with failure to prepare, distribute and maintain required reports and records.
DECISION -
On May 3, 2006, Edwards' NFA associate membership and principal status with any and all NFA Members was terminated and he was permanently barred from membership, associate membership or principal status with any NFA Member. Lake Dow's NFA membership was terminated and Lake Dow was permanently barred from NFA membership. | | |
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