| TRADE DOCK CAPITAL LLC |
NFA 11BCC00020 |
NFA ID: 0417738 |
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | 05/14/2012 | | 0417738 | TRADE DOCK CAPITAL LLC | 05/14/2012 |
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS | | | | • C.R.2-39 - SOLICITING, INTRODUCING, OR MANAGING OFF-EXCHANGE RETAIL FOREX TRANSACTIONS OR ACCOUNTS | | 0417738 | TRADE DOCK CAPITAL LLC | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-39 - SOLICITING, INTRODUCING, OR MANAGING OFF-EXCHANGE RETAIL FOREX TRANSACTIONS OR ACCOUNTS | | | | • R.R.208 - CHANGES REQUIRING NEW REGISTRATION | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS |
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0417738 | TRADE DOCK CAPITAL LLC | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE |
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | • SALES PRACTICE | | | | • GENERAL CONDUCT | | 0417738 | TRADE DOCK CAPITAL LLC | • REGISTRATION | | | | • SALES PRACTICE | | | | • GENERAL CONDUCT |
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 7 YRS | 04/27/2012 | | | | • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP | 04/27/2012 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 7 YRS | 04/27/2012 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 7 YRS | 04/27/2012 | | 0417738 | TRADE DOCK CAPITAL LLC | • WITHDRAW FROM MEMBERSHIP | 04/27/2012 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 04/27/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 04/27/2012 | | | | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 04/27/2012 |
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| COMPLAINT:
On August 31, 2011, NFA issued a Complaint charging TDC and Da'Cruz with providing NFA with false and misleading information; failing to cooperate promptly and fully with NFA during the course of its examination and investigation of TDC; and using false and misleading promotional material. The Complaint also charged TDC with failing to list Benoit Brookens, III as a principal and de-listing Trade Dock Co. as a principal of TDC.
ANSWER:
On October 28, 2011, TDC and Da'Cruz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On April 27, 2012, pursuant to a settlement offer submitted by TDC and Da'Cruz, TDC was ordered to withdraw from NFA membership within 30 days of the date of the Decision and never again apply for NFA membership, associate membership or principal status with any NFA Member. Da'Cruz was ordered to withdraw from NFA associate membership within 30 days of the date of the Decision and was barred from NFA membership, associate membership or principal status with any NFA Member for seven years from the date of the Decision.
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| COMPLAINT:
On August 31, 2011, NFA issued a Complaint charging TDC and Da'Cruz with providing NFA with false and misleading information; failing to cooperate promptly and fully with NFA during the course of its examination and investigation of TDC; and using false and misleading promotional material. The Complaint also charged TDC with failing to list Benoit Brookens, III as a principal and de-listing Trade Dock Co. as a principal of TDC.
ANSWER:
On October 28, 2011, TDC and Da'Cruz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On April 27, 2012, pursuant to a settlement offer submitted by TDC and Da'Cruz, TDC was ordered to withdraw from NFA membership within 30 days of the date of the Decision and never again apply for NFA membership, associate membership or principal status with any NFA Member. Da'Cruz was ordered to withdraw from NFA associate membership within 30 days of the date of the Decision and was barred from NFA membership, associate membership or principal status with any NFA Member for seven years from the date of the Decision.
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| 0369464 | DACRUZ, DOMINIQUE MIGUEL | ANSWER | | 0369464 | DACRUZ, DOMINIQUE MIGUEL | COMPLAINT | | 0369464 | DACRUZ, DOMINIQUE MIGUEL | DECISION | | 0417738 | TRADE DOCK CAPITAL LLC | ANSWER | | 0417738 | TRADE DOCK CAPITAL LLC | COMPLAINT | | 0417738 | TRADE DOCK CAPITAL LLC | DECISION |
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