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Anthony Pitta Involved in a Six-Figure Investor Dispute

Sep 20, 2022 Misrepresentation

Anthony Pitta (CRD #: 1958029), a broker registered with Capital Investment Group, is involved in a pending dispute, according to his BrokerCheck record, accessed on August 27, 2022. Investors may have also engaged his services through Capital Investment Advisory Services. Read on if you have questions about his conduct as a broker.

Investor Dispute

On July 7, 2022, an investor named Anthony Pitta in a dispute alleging the misrepresentation of a security’s risks and the nature of the investment. The client seeks $625,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, or otherwise unethical methods of influencing the purchase and sale of securities. Misrepresentation of an investment’s risks, limitations, or other features violates this rule.

Background Information

Anthony Pitta has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Anthony Pitta is a registered broker in ten states and a registered investment adviser in New York.

He has also worked for the following firms:

  • Park Avenue Securities (CRD#:46173)
  • Guardian Investor Services (CRD#:6635)
  • Penn Mutual Equity Services (CRD#:4031)
  • Monarch Securities (CRD#:2809)
  • Home Life Insurance Company (CRD#:4184)
  • W. S. Griffith & Company (CRD#:10410)

Kurta Law Can Help

If you worked with Anthony Pitta and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.