According to FINRA, James J. Mariani has been suspended from association with any FINRA member firm for failure to comply with an arbitration award pursuant to FINRA Rule Series 9554.

The suspension began on February 3, 2025. The underlying arbitration case was FINRA Arbitration Case #23-01840, which is the same case number associated with Michael Fasciglione's suspension, indicating both individuals were respondents in the same proceeding.

The suspension remains in effect until the individual satisfies the award or reaches an agreement with the claimant. During this time, the individual cannot engage in any securities-related activities at FINRA member firms.

What Investors Can Learn: When pursuing arbitration claims, investors often name both the individual broker and the firm, or multiple individuals, as respondents. This strategy can increase the likelihood of recovery if the arbitration panel finds in the investor's favor. Consulting with an attorney experienced in securities arbitration can help investors understand their options.