DOCKSIDE PLATFORMS of NEW YORK, NY is an SEC-registered investment adviser (CRD 330606). Regulatory assets under management: $9.6B.
Compensation: % of AUM.
Clients served: Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| William Dunning England | CHAIRMAN; MEMBER | Minneapolis, MN |
| Thomas Loor Wynn | CHIEF COMPLIANCE OFFICER | — |
| WYNN THOMAS LOOR | CHIEF COMPLIANCE OFFICER | — |
| ENGLAND WILLIAM DUNNING | MEMBER | — |
| JORDAN MICHAEL KEVIN | CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-07 | regulatory | DURING DECEMBER 2018 AND MAY 2019, A TRADER WHO WAS AT THE TIME EMPLOYED BY WALLEYE CAPITAL ENTERED ORDERS IN CERTAINSOYBEAN COMPLEX FUTURES CONTRACTS WITH THE INTENT TO CANCEL THOSE ORDERS BEFORE THEIR EXECUTION-SPECIFICALLY, SOYBEANFUTURES, SOYBEAN MEAL FUTURES, AND SOYBEAN OIL FUTURES CONTRACTS T… | Final | $550K |