| JACEK SROKA |
NFA 11BCC00014 |
NFA ID: 0259481 |
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| 0406308 | COGITO ASSET MANAGEMENT CORP | 02/01/2012 | | 0267138 | KREJCI, TODD JOSEPH | 02/01/2012 | | 0259481 | SROKA, JACEK | 02/01/2012 |
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| 0406308 | COGITO ASSET MANAGEMENT CORP | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0267138 | KREJCI, TODD JOSEPH | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0259481 | SROKA, JACEK | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0406308 | COGITO ASSET MANAGEMENT CORP | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0267138 | KREJCI, TODD JOSEPH | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0259481 | SROKA, JACEK | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE |
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| 0406308 | COGITO ASSET MANAGEMENT CORP | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0267138 | KREJCI, TODD JOSEPH | • SALES PRACTICE | | 0259481 | SROKA, JACEK | • GENERAL CONDUCT |
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| 0406308 | COGITO ASSET MANAGEMENT CORP | • PERMANENT BAR FROM NFA MEMBERSHIP | 01/17/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 01/17/2012 | | 0267138 | KREJCI, TODD JOSEPH | • FINE (CONTINGENT) $25000 | 01/17/2012 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS | 01/17/2012 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS | 01/17/2012 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS | 01/17/2012 | | 0259481 | SROKA, JACEK | • TEMPORARY BAR FROM NFA MEMBERSHIP 4 YRS | 01/17/2012 | | | | • FINE (CONTINGENT) $35000 | 01/17/2012 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 4 YRS | 01/17/2012 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 4 YRS | 01/17/2012 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 29, 2011, NFA issued a Complaint charging CAM and Sroka with failing to uphold high standards of commercial honor and just and equitable principles of trade and failing to supervise. The Complaint charged CAM and Krejci with making misleading sales solicitations to customers.
ANSWER:
On August 16, 2011, CAM, Sroka and Krejci filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On January 17, 2012, pursuant to settlement offers submitted by CAM, Sroka and Krejci, Cogito was permanently barred from NFA membership and from acting as a principal of an NFA Member. Sroka was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for four years. During the four-year membership bar, Sroka may not act in any capacity requiring registration or act as a principal of an NFA Member. If after expiration of the four-year membership bar Sroka applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $35,000 fine. Krejci was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for three years. During the three-year membership bar, Krejci may not act in any capacity requiring registration, or act as a principal of an NFA Member. If after expiration of the three-year membership bar Krejci applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $25,000 fine.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 29, 2011, NFA issued a Complaint charging CAM and Sroka with failing to uphold high standards of commercial honor and just and equitable principles of trade and failing to supervise. The Complaint charged CAM and Krejci with making misleading sales solicitations to customers.
ANSWER:
On August 16, 2011, CAM, Sroka and Krejci filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On January 17, 2012, pursuant to settlement offers submitted by CAM, Sroka and Krejci, Cogito was permanently barred from NFA membership and from acting as a principal of an NFA Member. Sroka was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for four years. During the four-year membership bar, Sroka may not act in any capacity requiring registration or act as a principal of an NFA Member. If after expiration of the four-year membership bar Sroka applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $35,000 fine. Krejci was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for three years. During the three-year membership bar, Krejci may not act in any capacity requiring registration, or act as a principal of an NFA Member. If after expiration of the three-year membership bar Krejci applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $25,000 fine.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 29, 2011, NFA issued a Complaint charging CAM and Sroka with failing to uphold high standards of commercial honor and just and equitable principles of trade and failing to supervise. The Complaint charged CAM and Krejci with making misleading sales solicitations to customers.
ANSWER:
On August 16, 2011, CAM, Sroka and Krejci filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On January 17, 2012, pursuant to settlement offers submitted by CAM, Sroka and Krejci, Cogito was permanently barred from NFA membership and from acting as a principal of an NFA Member. Sroka was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for four years. During the four-year membership bar, Sroka may not act in any capacity requiring registration or act as a principal of an NFA Member. If after expiration of the four-year membership bar Sroka applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $35,000 fine. Krejci was ordered not to apply for NFA membership, associate membership or act as a principal of an NFA Member for three years. During the three-year membership bar, Krejci may not act in any capacity requiring registration, or act as a principal of an NFA Member. If after expiration of the three-year membership bar Krejci applies for NFA membership, associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $25,000 fine.
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