FC Investor
World Wide Web

Name

Residence

What

Why

Date

Iarussi, John

Fanwood, New Jersey

Barred

In connection with the purchase or sale of securities, he directly or indirectly, by the use of the means or instrumentalities of interstate commerce or of the mails, or of any facility of any national securities exchange, knowingly or recklessly employed devices, schemes or artifices to defraud; made untrue statements of material facts or omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; engaged in acts, practices, or courses of business that operated, or would operate as a fraud or deceit upon any person; or effected transactions in, or induced the purchase or sale of, securities by means of manipulative, deceptive or other fraudulent devices or contrivances. Among other things, NASD found that Iarussi engaged in a pattern and practice of allocating profitable transactions to the firmís proprietary account and allocating inferior executions within the same securities to customer accounts. The findings also stated that Iarussi failed to respond to NASD requests for information.

February 2006

Idnani, Shiv U.

Ossining, New York

Barred

Idnani consented to the described sanction and to the entry of findings that he failed to completely respond to NASD requests for documents.

June 2006

Ilchert, Jonathan Christopher

Boca Raton, FL

Barred

Ilchert misrepresented material facts and engaged in manipulative, deceptive or other fraudulent devices in connection with recommendations that public customers invest in private securities offerings. The findings stated that Ilchert failed to respond to FINRA requests for an on-the-record interview.

March 2008

Impellizeri, Neal Anthony

Plandome, New York

Barred

Impellizeri recommended OTC Bulletin Board (OTCBB) stocks without his member firm's affirmative determination that the issuers' current financial statements and material business information provided a reasonable basis for the recommendations. Impellizeri failed to disclose material facts in connection with his recommendations that public customers purchase shares of the speculative OTCBB stocks. The findings also stated that he made unreasonable price predictions to customers who purchased the stock. This decision has been appealed to the NAC and the sanctions are not in effect pending consideration of the appeal.

July 2007

Ingram, Jason Ronald

Woodland, California

Barred

Pursuant to NASD Rule 9552(h)

May 2006

Inniss, Justin Andre

Brooklyn, New York

Barred

Pursuant to NASD Rule 9552(h)

April 2006

Irby, Linda

Newton, Mississippi

Barred

Violated NYSE Rule 476(a)(6) in that she misappropriated funds and obtained a credit card in customer's name using the customer's personal information and used the card for her own benefit, without the customer's knowledge and consent.

August 2006

Isenman, Mark K.

Unknown

Consent to censure and one year bar.

Effected unauthorized customer transactions; violated Exchange Rule 352(c) by sharing in customer losses; caused a violation of SEC Regulations 240.17a-3 and 240.17a-4 and Exchange Rule 440 by falsifying a trade error report; violated Exchange Rule 408(a) by exercising discretion without written customer authorization.

January 19, 2005

Isenman, Mark K.

Unknown

Consent to censure and one year bar.

Effected unauthorized customer transactions; violated Exchange Rule 352(c) by sharing in customer losses; caused a violation of SEC Regulations 240.17a-3 and 240.17a-4 and Exchange Rule 440 by falsifying a trade error report; violated Exchange Rule 408(a) by exercising discretion without written customer authorization.

January 19, 2005

Israel, Andrew Joseph

Rockaway Park, NY

Barred

Israel, acting on behalf of his firm, Kirlin Securities, Inc., used deceptive techniques to manipulate the price of securities. The findings also stated that the firm, acting through Israel, failed to comply with best execution requirements for a customer order. This decision has been appealed to the NAC and the sanctions are not in effect pending consideration of the appeal.

February 2008