DAVID JOEL IANNINI is currently employed as a Broker and/or Investment Adviser at WILLIAM AND HENRY ASSOCIATES located at 1901 AVENUE OF THE STARS, 2ND FLOOR, LOS ANGELES, CA, 90067.
DAVID JOEL IANNINI has worked at WILLIAM AND HENRY ASSOCIATES since June 13, 2012
Disclosure History
DAVID JOEL IANNINI has 2 Disclosure Event(s).
Date: January 10, 2011 Category: Judgment / Lien Judgment/Lien Amount: $18,295.00 Judgment/Lien Type: Civil Broker Comment: I WAS FRAUDED ON A CREDIT CARD. CITYBANK IS TRYING TO MAKE ME RESPONSIBLE FOR IT. I REFUSED SO THEY FILE A CASE
Date: June 24, 2010 Category: Employment Separation After Allegations Firm Name: GREIF & CO. Termination Type: Voluntary Resignation Allegations: ON JUNE 23, 2010 AT 1:57 P.M., THE FIRM RECEIVED AN EMAIL FROM ANOTHER BROKERAGE FIRM ATTACHING AN ANNOUNCEMENT BY PARADISE MOTORSPORT REGARDING ITS ENGAGEMENT OF WILLIAMAND HENRY ASSOCIATES ("WHA") AS EXCLUSIVE INVESTMENT BANKERS. THE ANNOUNCEMENT LISTED MR. IANNINI AS CHAIRMAN, PRESIDENT & CEO OF WHA. AT 2:26 P.M. ON THE SAME DATE, MR. IANNINI SUBMITTED VIA EMAIL TWO WEEKS NOTICE OF RESIGNATION. AFTER FURTHER INQUIRY, THE FIRMTERMINATED MR. IANNINI'S EMPLOYMENT AT 9:14 P.M., EFFECTIVE JUNE 24, 2010. Broker Comment: MR. IANNINI DISPUTES THIS TERMINATION. MR. IANNINI RESIGNED APPROXIMATELY 7 HOURS PRIOR TO THIS "TERMINATION". FURTHER, MR. JOSH BRYAN OF PARADISE MOTORSPORT HAS SIGNED A LEGALLY BINDING DECLARATION INDICATING THAT THE AFOREMENTIONED EMAIL/PRESS RELEASE WAS FALSE AND THAT NO AGREEMENT EXISTED BETWEEN MR. IANNINI AND PARADISE MOTORSPORT.RULE 3030 STATES THAT NO ASSOCIATED PERSON MAY BE EMPLOYED BY NOR ACCEPT COMPENSATION FROM OUTSIDE THE MEMBER FIRM WITHOUT PROMPT WRITTEN NOTICE TO THE MEMBER FIRM. MR. IANNINI WAS NOT EMPLOYED BY NOR ACCEPTED ANY COMPENSATION FROM OUTSIDE BUSINESS ACTIVITIES WHILE EMPLOYED AT GREIF & CO. THEREFORE, MR. IANNINI WAS NOT INVOLVED IN ANY RULE 3030 NOR RULE 3040 (E) (2) ACTIVITY. THE ARBITRATION PANEL DID NOT RULE ON WHETHER MR. IANNINI HAD COMMITTED ANY OUTSIDE BUSINESS ACTIVITY
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