| ARAMIS CAPITAL MANAGEMENT LLC |
NFA 09BCC00030 |
NFA ID: 0389321 |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | 02/18/2010 | | 0302959 | LYONS, VICTOR ALLEN | 02/18/2010 |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | 0302959 | LYONS, VICTOR ALLEN | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0302959 | LYONS, VICTOR ALLEN | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | • GENERAL CONDUCT |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | • FINE (CONTINGENT) $ | 02/03/2010 | | 0302959 | LYONS, VICTOR ALLEN | • FINE (CONTINGENT) $ | 02/03/2010 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On August 25, 2009, NFA issued a Complaint charging Aramis with using a deficient disclosure document that did not comply with NFA and CFTC disclosure document requirements. The Complaint also charged Aramis and Lyons with providing false and misleading information to NFA. Finally, the Complaint charged Lyons with failing to supervise.
ANSWER:
On September 25, 2009, Aramis and Lyons filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On February 3, 2010, a Hearing Panel ordered that if either Lyons or Aramis applies for NFA membership or associate membership or acts as a principal of an NFA Member less than two years from the effective date of the Decision, they must pay a $35,000 due and payable 30 days after NFA membership or associate membership is granted or after becoming a principal of an NFA Member.
If either Lyons or Aramis applies for NFA membership or associate membership or acts as a principal of an NFA Member more than two years but less than three years from the effective date of the Decision, they must pay a $10,000 fine due and payable thirty days after NFA membership or associate membership is granted or after becoming a principal of an NFA Member.
If neither Aramis nor Lyons applies for NFA membership or associate membership or acts as a principal of an NFA Member for three years or more from the effective date of the Decision, either may reapply for NFA membership or associate membership or become a principal of an NFA Member without a fine being due and payable. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On August 25, 2009, NFA issued a Complaint charging Aramis with using a deficient disclosure document that did not comply with NFA and CFTC disclosure document requirements. The Complaint also charged Aramis and Lyons with providing false and misleading information to NFA. Finally, the Complaint charged Lyons with failing to supervise.
ANSWER:
On September 25, 2009, Aramis and Lyons filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On February 3, 2010, a Hearing Panel ordered that if either Lyons or Aramis applies for NFA membership or associate membership or acts as a principal of an NFA Member less than two years from the effective date of the Decision, they must pay a $35,000 due and payable 30 days after NFA membership or associate membership is granted or after becoming a principal of an NFA Member.
If either Lyons or Aramis applies for NFA membership or associate membership or acts as a principal of an NFA Member more than two years but less than three years from the effective date of the Decision, they must pay a $10,000 fine due and payable thirty days after NFA membership or associate membership is granted or after becoming a principal of an NFA Member.
If neither Aramis nor Lyons applies for NFA membership or associate membership or acts as a principal of an NFA Member for three years or more from the effective date of the Decision, either may reapply for NFA membership or associate membership or become a principal of an NFA Member without a fine being due and payable. | | |
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| 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | ANSWER | | 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | COMPLAINT | | 0389321 | ARAMIS CAPITAL MANAGEMENT LLC | DECISION | | 0302959 | LYONS, VICTOR ALLEN | ANSWER | | 0302959 | LYONS, VICTOR ALLEN | COMPLAINT | | 0302959 | LYONS, VICTOR ALLEN | DECISION |
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