Anthony Sica Fired by Joseph Gunnar & Co.

Anthony Sica (CRD #: 1332626) has been fired by Joseph Gunnar & Co. This disclosure appears on his BrokerCheck record, accessed on July 11, 2024. Keep reading if you have questions concerning his alleged conduct. 

Employment Separation Following Allegations 

On May 30, 2024, Joseph Gunnar & Co. fired Anthony Sica following allegations that he failed to comply with his firm’s request to fill out a form called a “PAQ.” Anthony Sica allegedly told the CEO that he couldn’t fill out the form because there were specific questions that he “could not answer” and that he was “retiring immediately.”

Customer Dispute: Award/Judgment 

On January 31, 2020, an investor alleged that Anthony Sica engaged in negligence and made fraudulent misrepresentations. The investor alleged that he recommended unsuitable investments. The investor sought $750,000. 

The Award found Joseph Gunnar & Co. liable for $52,500 in compensatory damages and $105,000 in punitive damages. You can read a copy of the Award here. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s potential returns, risks, fees, or limitations.

Background Information 

Anthony Sica 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 24 General Securities Representative Examination 

During his 39 years of experience, he has registered with five firms: 

• Joseph Gunnar & Co. (CRD #: 24795) 
• Wachovia Securities (CRD #: 19616) 
• Prudential Securities (CRD #: 7471) 
• Lehman Brothers (CRD #: 7506) 
• McLaughlin, Piven, Vogel (CRD #: 7404) 

Kurta Law Can Help 

If you have worked with Anthony Sica and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.