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Finra sues smoothie-throwing broker for ducking cash reporting rules
James Iannazzo made cash transactions totaling close to $846,000 to avoid detection, the regulator alleges.
Smoothie-throwing broker under microscope for cash transactions
Finra has made a 'preliminary decision' to recommend some type of disciplinary action against James Iannazzo, according to BrokerCheck.
SEC slaps Aegis Capital with $2.3 million penalty
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
Former Merrill adviser assigned to rehabilitation after racist rant
James Iannazzo, who lost his job at Merrill after a tirade at a smoothie shop, will have the charges against him dismissed after a year under supervision.
Fired Merrill broker who threw smoothie lands at Aegis Capital
James Iannazzo, 48, was arrested in January, faces three charges and is seeking probation.
Aegis Capital received $1.7 million PPP loan last year
The financial assistance appears to be on the higher end of PPP loans received by privately held broker-dealers who obtained Covid-19 business relief. Other B-Ds have reported taking larger PPP loans.
