FC Investor
World Wide Web

Name

Residence

What

Why

Date

Iannacchione, Brad Robert

New Kensington, PA

Barred

Iannacchione forged public customers' initials and/or signatures on account documents.

June 2008

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, Charlene Chong

Chesapeake, VA

Barred

Pursuant to FINRA Rule 9552(h)

January 2010

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

Iriarte, Jr., Jose Daniel

Severn, MD

Barred

Iriarte borrowed $132,000 from a non-family public customer, contrary to his member firm's written procedures prohibiting registered employees from borrowing money from customers, unless they were family members.

December 2008

Islas, Mark

Tucson, AZ

Barred

Islas, along with Mayra Angulo failed to respond to FINRA requests for information. (FINRA Case #2007011159501)

Israel, Andrew

Rockaway Park, NY

Barred

FINRA announced that its National Adjudicatory Council (NAC) has barred Israel for engaging in a manipulative trading scheme to artificially inflate the price of Kirlin Holding stock, which was then trading on the Nasdaq NationalMarket (KILN, now ZNHL.PK in the Pink Sheets). Israel appealed the decision to the SEC. The sanctions against the firm and individuals remain in effect pending an SEC ruling.

July 2009

Ivandjiiski, Daniel

New York, NY

Barred

Ivandjiiski was barred for insider trading - buying shares of Hawaiian Holdings, Inc, which owns Hawaiian Airlines, one day before Hawaiian Holdings publicly announced that it had reached an agreement with its creditors to increase Hawaiian Airlines' credit lines by $91 million. Ivandjiiski previously had been employed at an investment banking firm working on the deal to increase the credit lines.

October 2008