FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Iannazzo, CRD No. 2807988 Disciplinary Proceeding No. 2020067734001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than six years, while associated with FINRA member Merrill Lynch, Pierce, Fenner & Smith, Inc.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078789801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Randall G. Skrabonja (Respondent) Former General Securities Representative CRD No. 1858245 Pursuant to FINRA Rule 9216, Respondent Randall G. Skrabonja submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.