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LAKE DOW CAPITAL, LLC
CASE OUTCOME: PERMANENT BAR FROM NFA MEMBERSHIP
NFA ID:
0320066
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.
Source: National Futures Association
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