Dennis Daniel Herrera of New York New York a stockbroker formerly associated with Blackbook Capital LLC is referenced in a customer initiated investment related arbitration claim which was settled for $14,500.00 in damages based upon allegations that equity transactions effected in the customer’s account were not suitable for the customer. Financial Industry Regulatory Authority (FINRA)…
Franklin Ihendu Ogele of New York New York a former owner of Blackbook Capital LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to supervise a stockbroker of the firm who placed unsuitable trades in a…
Philip Orezio Fatta of New York New York a stockbroker formerly registered with Blackbook Capital LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that he executed unsuitable trades in customer’s investment accounts. Letter of Acceptance,…
Darnell Anthony Deans, of New York, New York, a stockbroker formerly registered with Blackbook Capital, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he neglected to respond to FINRA’s request for information about Deans’ business activities. FINRA Case No. 2015044374501 (July 17,…
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,…
Mary Ann Wise, of New York, New York, a stockbroker formerly registered with Blackbook Capital, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to comply with a FINRA investigation into her involvement with another individual FINRA barred for…
Philip Orezio Fatta, of Holtsville, New York, a stockbroker formerly registered with Blackbook Capital, LLC, has been named in a customer initiated investment related arbitration claim on June 15, 2016, in which the customer requested $381,195.16 in damages based upon allegations that Fatta breached his fiduciary and contractual duties, churned the customer’s account, effected unsuitable…
Samuel T. Januszeqski-Ytrt, of Mineola, New York, a stockbroker formerly registered with Blackbook Capital LLC, has been named in a customer initiated investment related arbitration claim on November 21, 2016, in which the customer requested $250,000.00 in damages based upon allegations that Januszeqski-Ytrt breached his fiduciary duties, made misrepresentations concerning investments, and defrauded the customer…