A broker has consented to pay a $10,000 fine and take a suspension of 15 business days in response to allegations that he incorrectly marked trades and prevented his firm’s compliance department from accurately monitoring the transactions.
Andrey V. Tkatchenko, a broker employed with New York-based broker-dealer and investment banking firm Fordham Financial Management from April 2008 through October 2010, submitted a letter of acceptance, waiver and consent that was accepted by the Financial Industry Regulatory Authority last week. In the letter, Tkatchenko consents to the allegations, while neither admitting or denying the findings.
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