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NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On March 14, 2011, NFA issued a Member Resonsibility Action ("MRA") against Trade Dock Capital LLC ("Trade Dock") and an Associate Responsibility Action ("ARA") against Dominique Miguel Da'Cruz ("Da'Cruz") whereby:
1. Effective immediately, TDC and Da'Cruz are suspended from NFA membership and associate membership, respectively, and are prohibited from soliciting or accepting any funds from customers or investors and soliciting investments for any investment vehicles; and
2. TDC and Da'Cruz are required to provide copies of this MRA/ARA via overnight courier to all banks and other financial institutions with which money is on deposit in the name of TDC or Da'Cruz or accounts over which TDC or Da'Cruz exercises control.
This action is effective immediately and is deemed necessary to protect prospective customers of TDC and Da'Cruz since TDC and Da'Cruz were attempting to solicit customers with patently false and misleading information. In addition, TDC and Da'Cruz have deliberately misled NFA throughout its investigation and examination of TDC by providing NFA with contradictory and false information and have failed to cooperate with NFA in an examination of TDC or demonstrate that they are in full compliance with NFA Requirements.
The MRA and ARA will remain in effect until such time as TDC and Da'Cruz have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements.