| MARCIN JASINSKI |
NFA 06BCC00024 |
NFA ID: 0341619 |
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| 0341619 | JASINSKI, MARCIN | 04/26/2007 | | 0330938 | KHOLOSTOY, ZACHARY | 06/01/2007 | | 0337483 | SPENCER FINANCIAL LLC | 11/28/2006 |
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| 0341619 | JASINSKI, MARCIN | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | 0330938 | KHOLOSTOY, ZACHARY | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | 0337483 | SPENCER FINANCIAL LLC | • F.R.Section 1 - ADJUSTED NET CAPITAL REQ. FOR FCMS | | | | • R.R.208 - CHANGES REQUIRING NEW REGISTRATION | | | | • C.R.2-36(d) - FOREX DEALER MEMBERS DOING BUSINESS WITH NON-MEMBERS | | | | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS | | | | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM |
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| 0341619 | JASINSKI, MARCIN | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0330938 | KHOLOSTOY, ZACHARY | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0337483 | SPENCER FINANCIAL LLC | • BUSINESS CONDUCT COMMITTEE |
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| 0341619 | JASINSKI, MARCIN | • GENERAL CONDUCT | | 0330938 | KHOLOSTOY, ZACHARY | • GENERAL CONDUCT | | 0337483 | SPENCER FINANCIAL LLC | • SALES PRACTICE | | | | • REGISTRATION | | | | • FINANCIAL | | | | • GENERAL CONDUCT |
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| 0341619 | JASINSKI, MARCIN | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 1 YRS | 04/11/2007 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 1 YRS | 04/11/2007 | | 0330938 | KHOLOSTOY, ZACHARY | • TEMPORARY BAR FROM NFA MEMBERSHIP 1 YRS | 05/17/2007 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 1 YRS | 05/17/2007 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 1 YRS | 05/17/2007 | | 0337483 | SPENCER FINANCIAL LLC | • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP | 11/13/2006 |
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| **To view documents, go to Case Documents. For a copy of Documents, contact NFA's Information Center.**
COMPLAINT:
On August 30, 2006, NFA issued a Complaint charging Spencer with using misleading promotional material; using misleading promotional material of non-members with which Spencer does business; failing to develop and implement an adequate AML program; failing to list Alexander Teplitsky and Eugene Teplitsky as principals; failing to file financial statements with NFA in a timely manner; and failing to file notices of substantial reductions in net capital. The Complaint also charged Spencer, Jasinski and Kholostoy with failure to supervise.
DECISION:
On April 11, 2007, Jasinski was suspended from NFA membership and Associate membership for one year. During the period of suspension, Jasinski may not act in any capacity requiring registration, nor act as a principal of an NFA Member.
Should Jasinski, after the expiration of the one year suspension, again become an NFA Member or Associate Member, he may not act in a supervisory capacity for any NFA Member for two years from the date he again becomes an NFA Member or Associate Member. | | | |
| **To view documents, go to Case Documents. For a copy of Documents, contact NFA's Information Center.**
COMPLAINT:
On August 30, 2006, NFA issued a Complaint charging Spencer with using misleading promotional material; using misleading promotional material of non-members with which Spencer does business; failing to develop and implement an adequate AML program; failing to list Alexander Teplitsky and Eugene Teplitsky as principals; failing to file financial statements with NFA in a timely manner; and failing to file notices of substantial reductions in net capital. The Complaint also charged Spencer, Jasinski and Kholostoy with failure to supervise.
DECISION:
On May 17, 2007, Kholostoy was suspended from NFA membership and associate membership for one year. During the suspension period, Kholostoy may not act in any capacity requiring registration, nor act as a principal of an NFA Member. Should Kholostoy again become an NFA Member or Associate Member, after the expiration fo the one-year suspension, he may not act in a supervisory capacity for any NFA Member for two years from the date he again becomes an NFA Member or Associate Member. | | | |
| **To view documents, go to Case Documents. For a copy of Documents, contact NFA's Information Center.**
COMPLAINT:
On August 30, 2006, NFA issued a Complaint charging Spencer with using misleading promotional material; using misleading promotional material of non-members with which Spencer does business; failing to develop and implement an adequate AML program; failing to list Alexander Teplitsky and Eugene Teplitsky as principals; failing to file financial statements with NFA in a timely manner; and failing to file notices of substantial reductions in net capital. The Complaint also charged Spencer, Jasinski and Kholostoy with failure to supervise.
ANSWER:
On September 22, 2006, Spencer filed an Answer to the Complaint denying the material allegations contained therein.
DECISION:
On November 13, 2006, Spencer was ordered to withdraw from NFA membership and never again reapply for NFA membership or act as a principal of an NFA member. | | |
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