Andrey V. Tkatchenko, of New York, New York, a stockbroker formerly registered with Blackbook Capital LLC, has been stripped of his securities licensure with Financial Industry Regulatory Authority (FINRA) based upon allegations that Tkatchenko neglected to pay costs and fines assessed to him by FINRA for committing sales practice violations. Case No. 2011028647101 (Dec. 4, 2015).
FINRA Public Disclosure reveals Tkatchenko was fined $10,000.00 and suspended for two years from associating with any FINRA member pursuant to an Extended Hearing Panel Decision containing findings that Tkatchenko made unsuitable securities recommendations to the firm’s customers and failed to adequately investigate securities before making investment recommendations. Department of Enforcement v. John Carris Investments, LLC, et al., No. 2011028647101 (Jan 20, 2015). Consequently, FINRA found Tkatchenko’s conduct to be violative of FINRA Rules 2010, 2111, and NASD Rules 2310.
FINRA Public Disclosure additionally reveals that Tkatchenko has been named in seven customer initiated investment related disputes regarding allegations of his wrongdoing while he was employed with John Carris Investments, LLC, Fordham Financial Management, Inc., and Grayson Financial LLC. Specifically, on June 13, 2014, a customer filed an investment related arbitration claim concerning Tkatchenko’s activities, in which the customer requested $27,000.00 in damages based upon allegations that Tkatchenko breached his fiduciary obligations to the customer and effected equity trades without the customer’s consent.
Subsequently, on May 7, 2015, a customer was awarded $100,000.00 in damages according to an investment related arbitration claim involving Tkatchenko’s misconduct, based upon allegations that he breached his contractual and fiduciary duties, made misrepresentations and omissions to the customer, negligently managed the customer’s portfolio, and committed fraud in effecting Fibrocell Science, Inc. stock transactions. Moreover, Tkatchenko has been named in a customer initiated investment related arbitration claim on December 24, 2015, in which the customer requested $509,505.20 in damages based upon allegations that Tkatchenko breached his fiduciary and contractual obligations to the customer, made misrepresentations concerning investments, and effected unauthorized and unsuitable stock transactions in the customer’s investment account.
Since May 13, 1996, Tkatchenko has been associated with eight different broker dealers, seven of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
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