Suzanne Marie Capellini

06/01/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066627202 Department of Enforcement, Complainant, v. Suzanne Marie Capellini, CRD No. 1357703, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2018 through May 2020 (the “relevant period”), Respondent Suzanne Capellini, the Anti-Money Laundering Compliance Officer (AMLCO) at First Manhattan Co. (CRD No. 1845), failed to develop and implement a reasonable anti-money laundering (AML) program for one of the firm’s lines of business, namely, the deposit and trading of microcap securities by firm customers. In particular, the firm did not have a reasonable system for identifying potentially suspicious activity in microcap securities and its AML policies and procedures did not provide guidance about how to identify or address red flags of such activity.

07/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SUZANNE MARIE CAPELLINI (CRD No. 1357703), Respondent. Disciplinary Proceeding No. 2020066627202 Hearing Officer–DDM EXTENDED HEARING PANEL DECISION July 14, 2023 Respondent Suzanne Marie Capellini provided false and misleading responses and an altered document to FINRA’s investigative requests. For this misconduct, Capellini is barred from associating with a FINRA member firm in any capacity. She also failed to establish and implement an anti-money laundering (“AML”) program reasonably designed to cause the detection and reporting of suspicious low-priced securities activity under the Bank Secrecy Act (“BSA”). No other sanctions are imposed for this violation because of the bar. Appearances For the Complainant: Savvas Foukas, Esq., Amanda E. Fein, Esq., and Jeff Fauci, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Ian McLoughlin, Esq., and Thomas McCabe,

10/03/2024: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Suzanne Marie Capellini, New York, New York, Respondent. DECISION Complaint No. 2020066627202 Dated: October 3, 2024. Registered representative provided false and misleading responses and an altered document in response to FINRA investigative requests and failed to establish and implement an anti-money laundering program reasonably designed to cause the detection and reporting of suspicious low-priced securities activity. Held, findings and sanctions modified.

Reference 2020066627202data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org