James Iannazzo

02/11/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES IANNAZZO (CRD No. 2807988), Respondent. Disciplinary Proceeding No. 2020067734001 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION Date: February 6, 2025 For structuring 368 cash withdrawals and deposits totaling $845,890 with knowledge of, and an intent to evade, federal currency reporting requirements, in violation of the high standards of ethical conduct imposed by FINRA Rule 2010, Respondent James Iannazzo is fined $50,000 and suspended for two years from associating with any FINRA member firm in any capacity. Respondent is also ordered to pay costs.

06/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Iannazzo, CRD No. 2807988 Disciplinary Proceeding No. 2020067734001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than six years, while associated with FINRA member Merrill Lynch, Pierce, Fenner & Smith, Inc. (“Merrill Lynch”), James Iannazzo repeatedly structured cash deposits and withdrawals in three separate bank and brokerage accounts for the purpose of causing the financial institutions to fail to file a Currency Transaction Report (CTR).

Reference 2020067734001data-portal.finra.orgdata-portal.finra.orgfinra.org