| D2W CAPITAL MANAGEMENT LLC |
NFA 11MRA00004 |
NFA ID: 0396774 |
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| 0396774 | D2W CAPITAL MANAGEMENT LLC | 06/22/2011 | | 0383524 | HUNTER, TOBY | 06/22/2011 | | 0420910 | PRESTIGE CAPITAL ADVISORS LLC | 06/22/2011 |
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| | | No rules have been selected for this case. |
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| 0396774 | D2W CAPITAL MANAGEMENT LLC | • EXECUTIVE COMMITTEE | | 0383524 | HUNTER, TOBY | • EXECUTIVE COMMITTEE | | 0420910 | PRESTIGE CAPITAL ADVISORS LLC | • EXECUTIVE COMMITTEE |
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| 0396774 | D2W CAPITAL MANAGEMENT LLC | • NFA GENERAL DISCIPLINARY ACTION | | 0383524 | HUNTER, TOBY | • NFA GENERAL DISCIPLINARY ACTION | | 0420910 | PRESTIGE CAPITAL ADVISORS LLC | • NFA GENERAL DISCIPLINARY ACTION |
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| 0396774 | D2W CAPITAL MANAGEMENT LLC | • MEMBER RESPONSIBILITY ACTION | 06/22/2011 | | 0383524 | HUNTER, TOBY | • MEMBER RESPONSIBILITY ACTION | 06/22/2011 | | 0420910 | PRESTIGE CAPITAL ADVISORS LLC | • MEMBER RESPONSIBILITY ACTION | 06/22/2011 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On June 22, 2011, NFA issued a Member Responsibility Action ("MRA") against D2W Capital Management LLC ("D2W") and Prestige Capital Advisors LLC ("Prestige") and an Associate Responsibility Action ("ARA") against Toby Hunter ("Hunter") whereby:
1. Effective immediately, D2W, Prestige and Hunter are prohibited from soliciting or accepting any funds from customers or investors, soliciting investments for any managed accounts, pools or other investment vehicles, including the Prestige Multi Strategy Fund LP ("Prestige Fund" or "Fund"), or placing any trades, except liquidation or risk reducing trades in the Prestige Fund or any other customer account or fund over which D2W, Prestige or Hunter exercise control;
2. D2W, Prestige and Hunter are prohibited from disbursing or transferring any funds of customers, investors or pools over which they exercise control, or participants in any such pools, without prior approval from NFA; and
3. D2W, Prestige and Hunter are required to provide copies of this MRA/ARA via overnight courier to all: a) customers; b) participants in the Prestige Fund; c) any funds or pools in which the Prestige Fund or any other funds operated by D2W, Prestige or Hunter are invested; d) banks and other financial institutions with which money is on deposit in the name of D2W, Prestige, Hunter or accounts over which D2W, Prestige or Hunter exercise control.
This action is effective immediately and is deemed necessary to protect D2W's and Prestige's customers since D2W, Prestige and Hunter have misled customers regarding the value of their investments, continue to solicit potential customers with false and misleading performance information and have not provided D2W's customers with a disclosure document ("DD") approved by NFA. In addition, D2W, Prestige and Hunter have been unable to provide any current books and records to NFA which would support the current value or location of their purported assets and client funds, and have also misled and lied to NFA throughout NFA's investigation of D2W and Prestige.
The MRA and ARA will remain in effect until such time as D2W, Prestige and Hunter have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On June 22, 2011, NFA issued a Member Responsibility Action ("MRA") against D2W Capital Management LLC ("D2W") and Prestige Capital Advisors LLC ("Prestige") and an Associate Responsibility Action ("ARA") against Toby Hunter ("Hunter") whereby:
1. Effective immediately, D2W, Prestige and Hunter are prohibited from soliciting or accepting any funds from customers or investors, soliciting investments for any managed accounts, pools or other investment vehicles, including the Prestige Multi Strategy Fund LP ("Prestige Fund" or "Fund"), or placing any trades, except liquidation or risk reducing trades in the Prestige Fund or any other customer account or fund over which D2W, Prestige or Hunter exercise control;
2. D2W, Prestige and Hunter are prohibited from disbursing or transferring any funds of customers, investors or pools over which they exercise control, or participants in any such pools, without prior approval from NFA; and
3. D2W, Prestige and Hunter are required to provide copies of this MRA/ARA via overnight courier to all: a) customers; b) participants in the Prestige Fund; c) any funds or pools in which the Prestige Fund or any other funds operated by D2W, Prestige or Hunter are invested; d) banks and other financial institutions with which money is on deposit in the name of D2W, Prestige, Hunter or accounts over which D2W, Prestige or Hunter exercise control.
This action is effective immediately and is deemed necessary to protect D2W's and Prestige's customers since D2W, Prestige and Hunter have misled customers regarding the value of their investments, continue to solicit potential customers with false and misleading performance information and have not provided D2W's customers with a disclosure document ("DD") approved by NFA. In addition, D2W, Prestige and Hunter have been unable to provide any current books and records to NFA which would support the current value or location of their purported assets and client funds, and have also misled and lied to NFA throughout NFA's investigation of D2W and Prestige.
The MRA and ARA will remain in effect until such time as D2W, Prestige and Hunter have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On June 22, 2011, NFA issued a Member Responsibility Action ("MRA") against D2W Capital Management LLC ("D2W") and Prestige Capital Advisors LLC ("Prestige") and an Associate Responsibility Action ("ARA") against Toby Hunter ("Hunter") whereby:
1. Effective immediately, D2W, Prestige and Hunter are prohibited from soliciting or accepting any funds from customers or investors, soliciting investments for any managed accounts, pools or other investment vehicles, including the Prestige Multi Strategy Fund LP ("Prestige Fund" or "Fund"), or placing any trades, except liquidation or risk reducing trades in the Prestige Fund or any other customer account or fund over which D2W, Prestige or Hunter exercise control;
2. D2W, Prestige and Hunter are prohibited from disbursing or transferring any funds of customers, investors or pools over which they exercise control, or participants in any such pools, without prior approval from NFA; and
3. D2W, Prestige and Hunter are required to provide copies of this MRA/ARA via overnight courier to all: a) customers; b) participants in the Prestige Fund; c) any funds or pools in which the Prestige Fund or any other funds operated by D2W, Prestige or Hunter are invested; d) banks and other financial institutions with which money is on deposit in the name of D2W, Prestige, Hunter or accounts over which D2W, Prestige or Hunter exercise control.
This action is effective immediately and is deemed necessary to protect D2W's and Prestige's customers since D2W, Prestige and Hunter have misled customers regarding the value of their investments, continue to solicit potential customers with false and misleading performance information and have not provided D2W's customers with a disclosure document ("DD") approved by NFA. In addition, D2W, Prestige and Hunter have been unable to provide any current books and records to NFA which would support the current value or location of their purported assets and client funds, and have also misled and lied to NFA throughout NFA's investigation of D2W and Prestige.
The MRA and ARA will remain in effect until such time as D2W, Prestige and Hunter have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements. | | |
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