CHARLES A. DaCRUZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Charles A. DaCruz Williston Park, NY, and Thomas J. Linda Queens, NY, Respondents. DECISION Complaint No. C3A040001 Dated: January 3, 2007 Respondents failed to disclose material information and made baseless price predictions when recommending a security to customers, in violation of the antifraud provisions of the
09/27/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES A DaCRUZ (CRD No. 2444684), and THOMAS J. LINDA (CRD No. 2404854), Respondents. Disciplinary Proceeding No. C3A040001 (Consolidating No. C3A040001 and No. C3A040007) EXTENDED HEARING PANEL DECISION Hearing Officer-SW Dated: September 27, 2005 Respondent DaCruz is suspended for one year in all capacities, ordered to requalify as a representative within 60 days of the
Reference C3A040001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2444684 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.