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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.
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.