{"id":10899,"date":"2022-12-12T12:52:44","date_gmt":"2022-12-12T17:52:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10899"},"modified":"2022-12-12T12:52:44","modified_gmt":"2022-12-12T17:52:44","slug":"finra-investigates-daniel-pita-for-outside-business-activities","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-investigates-daniel-pita-for-outside-business-activities\/","title":{"rendered":"FINRA Investigates Daniel Pita For Outside Business Activities"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10900 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/12\/Blog-Graphics1.png\" alt=\"Daniel Pita (CRD# 6759879) is a former registered broker last employed with NY Life Securities of Southwest Ranches, FL from 2018 through 2021. He has no other prior registrations with any broker dealer.  On December 10, 2021, NY Life filed a Uniform Termination Notice of Securities Industry Registration (Form U5) with FINRA indicating that the firm terminated his association. The firm\u2019s parent company terminated Pita for \u201cadministrative reasons,\u201d which were not disclosed.  Prior to his discharge, FINRA began an investigation into Pita\u2019s outside business activities (OBA) that he failed to disclose during his tenure with NY Life. Despite his termination, FINRA retains jurisdiction over Pita for a period of two years after the discharge date. Therefore, Pita was still subject to complying with FINRA rules.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/12\/Blog-Graphics1.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/12\/Blog-Graphics1-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Daniel Pita (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6759879\" target=\"_blank\">6759879<\/a>) is a former registered broker last employed with NY Life Securities of Southwest Ranches, FL from 2018 through 2021. He has no other prior registrations with any broker dealer. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-investigates-daniel-pita-for-outside-business-activities\/#more-10899\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Daniel Pita (CRD# 6759879) is a former registered broker last employed with NY Life Securities of Southwest Ranches, FL from 2018 through 2021. He has no other prior registrations with any broker dealer. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10899","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Investigates Daniel Pita For Outside Business Activities &#8212;<\/title>\n<meta name=\"description\" content=\"Daniel Pita is a former registered broker last employed with NY Life Securities of Southwest Ranches, FL from 2018 through 2021.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-investigates-daniel-pita-for-outside-business-activities\/\" 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