In a recent decision of the FINRA Regulatory Authority (FINRA), Andrey V. Tkatchenko was fined $10,000.00 and given a 15-day business suspension for marking trade tickets and trade confirmation relating to stock purchase transactions as being unsolicited, when in fact they were solicited. FINRA Rule 3110(a) requires that FINRA member firms “make and preserve books, accounts, records, memoranda, and correspondence in conformity with all applicable laws, rules . . . as prescribed by the FINRA Sanctions Broker For Marking Solicited Trades As Unsolicited 2008 and June 30, 2008, Tkatchenko marked as "unsolicited" trade tickets and/or confirmations pertaining to more than two dozen transactions in the stock of UniPixel, Inc. (UNXL) that he effected on behalf of his customers. traders and the confirmations sent to the firm However, the firm I came from told me that even though the trade is not solicited, I am still responsible in the eyes of FINRA since I can - and should - refuse to do the trade and it is my job to