National Futures Association (NFA) recently announced that it has taken an emergency enforcement action against Trade Dock Capital LLC (Trade Dock Capital) and its sole associated person (AP) and principal, Dominique Miguel Da’Cruz. Trade Dock Capital is a Commodity Trading Advisor and Commodity Pool Operator located in Bethesda, Maryland.
NFA believes that Trade Dock Capital and Da’Cruz solicited prospective customers with false and misleading information. Claims on the firm’s website indicated the firm was doing business in commodity futures and forex trading while neither Trade Dock Capital nor Da’Cruz have been approved as a forex firm or forex AP, respectively. Trade Dock Capital and Da’Cruz deliberately misled NFA throughout the investigation of Trade Dock Capital and failed to cooperate with NFA during the examination of the firm or demonstrate that it is in complete compliance with NFA requirements.
Effective immediately, the Member Responsibility Action (MRA) and Associate Responsibility Action (ARA) suspend Trade Dock Capital and Da’Cruz from NFA membership until further notice. Additionally, Trade Dock Capital and Da’Cruz are prohibited from soliciting or accepting funds from customers or investors and soliciting investments for any investment vehicles.
The MRA/ARA will remain in effect until such time that Trade Dock Capital and Da’Cruz exhibit that they are in full compliance of NFA Requirements.
This information which is publicly available on NFA’s website has been provided by The White Law Group, LLC.
If you have questions about investments you made with Trade Dock Capital, the securities attorneys of The White Law Group may be able to help. To speak with a securities attorney, please call the firm’s Chicago office at 312/238-9650.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.