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Case Summary

DAVID RICHARD KOCOUREK

NFA 06BCC00048

NFA ID: 0259980

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0259980	KOCOUREK, DAVID RICHARD	03/30/2007

Rule Summary

NFA ID	Respondent	Rule Type
0259980	KOCOUREK, DAVID RICHARD	• C.R.2-10 - RECORDKEEPING FCMS/IBS
		• C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS
		• C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS

Committee Summary

NFA ID	Respondent	Committee
0259980	KOCOUREK, DAVID RICHARD	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0259980	KOCOUREK, DAVID RICHARD	• GENERAL CONDUCT
		• SALES PRACTICE
		• OFFICE RECORDKEEPING

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0259980	KOCOUREK, DAVID RICHARD	• FINE $5000	03/15/2007
		• TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS	03/15/2007
		• TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS	03/15/2007
		• TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 5 YRS	03/15/2007

Narrative Summary

Narrative for 0259980 - KOCOUREK, DAVID RICHARD

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR COPIES OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On December 14, 2006, NFA issued a Complaint charging Kocourek with failing to file annual pool reports for CTG; failing to maintain books and records; and providing false and misleading information to NFA.

DECISION:

On March 15, 2007, NFA's BCC ordered that Kocourek's NFA membership, associate membership and principal status with an NFA member shall terminate as of March 30, 2007 and he is barred from NFA membership, associate membership and from being a principal of any NFA member for five years. Kocourek was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member unless and until he has paid a $5,000 fine.

Case Documents Summary

NFA ID	Respondent	Document Type
0259980	KOCOUREK, DAVID RICHARD	COMPLAINT
0259980	KOCOUREK, DAVID RICHARD	DECISION

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