Tag Archives: Anthony Sica

Joseph Gunnar Sued For Private Placement Fraud

April 08, 2020  |   Posted by :   |   Alternative Investments, Failure To Supervise, Private Placement Fraud, Securities Arbitration Claims, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on Joseph Gunnar Sued For Private Placement Fraud

Anthony Sica of New York New York a stockbroker registered with Joseph Gunnar Co. LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $750,000.00 in damages based upon allegations that private placements were sold by Sica without reasonable supervision from Joseph Gunnar and that those investments failed […]

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FINRA Fines Joseph Gunnar Stockbroker For Suitability

December 15, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Anthony Sica, of New York, New York, a stockbroker currently registered with Joseph Gunnar & Co. LLC, has been fined $20,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he made unsuitable investment recommendations to the customer and placed unauthorized […]

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