Certification & Background
Mr. James A. Iannazzo
Certification Status
Suspended
Company
Aegis Capital Corp
Address
156 Kings Hwy N Ste 1
Westport, CT 06880-2400
CFP Board Disciplinary History:
Yes
Bankruptcy Disclosure In Last 10 Years:
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CFP Board’s prior Bankruptcy Disclosure Procedures (effective July 1, 2012 - June 30, 2020) required public notice of a CFP® professional’s bankruptcy disclosure within the previous 10 years. Those disclosures will remain on CFP Board’s website for 10 years from the date that the CFP® professional disclosed the bankruptcy to CFP Board or the date CFP Board became aware of the bankruptcy, whichever is earlier.
No
Disclosure Information:
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In addition to FINRA and the SEC, additional information is available on the websites for the state securities and insurance regulator in the states in which the CFP® professional is licensed.
Visit FINRA's BrokerCheck and the SEC's Investment Adviser Public Disclosure for those who are subject to FINRA or SEC oversight.
CFP Board Disciplinary History
Effective Date
2/7/2022
On February 7, 2022, CFP Board’s Disciplinary and Ethics Commission (“Commission”) issued James Iannazzo of Southport, Connecticut an interim suspension of his right to use the CFP® certification marks. CFP Board staff became aware of an incident in which Mr. Iannazzo verbally and physically abused certain employees of a smoothie shop, one of whom was reportedly a minor, near his home on January 22, 2022, which was captured on video and widely publicized through media and social media outlets. Mr. Iannazzo was arrested and charged with three crimes, including Intimidation Based on Bigotry or Bias in the Second Degree, a felony. Based on these facts, on January 25, 2022, CFP Board Counsel filed a Motion for Interim Suspension Order pursuant to Article 2.1.a.1. of CFP Board’s Procedural Rules requesting that the Commission issue an Interim Suspension Order against Mr. Iannazzo. After reviewing the matter, a Hearing Panel of the Commission determined that CFP Board Counsel demonstrated by a preponderance of the evidence that Mr. Iannazzo’s conduct significantly impinges upon the reputation of the profession and the CFP® certification marks. Therefore, the Commission issued an Interim Suspension Order to Mr. Iannazzo. Pursuant to the Interim Suspension Order, Mr. Iannazzo’s right to use the CFP® certification marks is suspended pending CFP Board's completed investigation and possible further disciplinary proceedings, effective immediately.
About CFP Board's Disciplinary Process
Ethical conduct is a central requirement of the CFP® certification, and CFP Board actively enforces its ethical standards. All individuals who hold the CFP® certification agree to abide by the rigorous ethics and practice standards contained in CFP Board’s Code of Ethics and Standards of Conduct (Code and Standards). In situations where CFP Board learns that a CFP® professional’s conduct may be in violation of the Standards, it conducts an investigation following the process outlined in CFP Board’s Disciplinary Rules and Procedures.
The Disciplinary and Ethics Commission (formerly known as the Board of Professional Review) is responsible for interpreting and applying CFP Board's Code and Standards to specific fact situations involving professionals and imposing, where necessary, the appropriate discipline. The Commission may impose several types of discipline, up to the permanent revocation of an individual’s right to use the CFP® certification marks. Individuals who are listed above with indication of a CFP Board public disciplinary history have received a public discipline – either a public letter of admonition, suspension of CFP® certification, or permanent revocation of CFP® certification. Individuals may also be disciplined privately with a cautionary letter or private censure; a private discipline is confidential and not available to the public through this search function or other means.