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Case Summary

LAKE SHORE ASSET MANAGEMENT LIMITED

NFA 09BCC00004

NFA ID: 0372911

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	05/29/2009

Rule Summary

NFA ID	Respondent	Rule Type
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	• C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS
		• C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS
		• C.R.2-5 - FAILURE TO COOPERATE W/ NFA
		• C.R.2-29(b)(2) - MISSTATEMT/OMISSION OF FACT PROMP
		• C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER.

Committee Summary

NFA ID	Respondent	Committee
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	• SALES PRACTICE
		• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	• EXPELLED FROM MEMBERSHIP	05/14/2009

Narrative Summary

Narrative for 0372911 - LAKE SHORE ASSET MANAGEMENT LIMITED

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On March 16, 2009, NFA issued a Complaint charging Lake Shore with failure to cooperate in an NFA investigation; providing false information to NFA; and use of false and misleading promotional material.

DECISION:

On May 14, 2009, Lake Shore was permanently expelled from NFA.

Case Documents Summary

NFA ID	Respondent	Document Type
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	COMPLAINT
0372911	LAKE SHORE ASSET MANAGEMENT LIMITED	DECISION

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