{"id":7546,"date":"2019-01-15T10:43:13","date_gmt":"2019-01-15T15:43:13","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7546"},"modified":"2019-01-15T10:43:13","modified_gmt":"2019-01-15T15:43:13","slug":"anthony-sica-of-joseph-gunnar","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/anthony-sica-of-joseph-gunnar\/","title":{"rendered":"Anthony Sica of Joseph Gunnar"},"content":{"rendered":"<p>Anthony Sica (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1332626\" target=\"_blank\">CRD #1332626<\/a>) has been employed by Joseph Gunnar since November 2003.\u00a0 Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January 1985 to August 1985.<\/p>\n<p>According to the FINRA BrokerCheck, there have been complaints against Anthony Sica.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone  wp-image-5069 alignleft\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199.jpg\" alt=\"Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199\" width=\"265\" height=\"176\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-181x120.jpg 181w\" sizes=\"auto, (max-width: 265px) 100vw, 265px\" \/>In 2017, while employed by Joseph Gunnar, allegations shown without admitting or denying the findings, Sica consented to the sanctions and to the entry of findings that he made unsuitable recommendations to an elderly customer living on a fixed income.\u00a0 The findings stated that Sica repeatedly recommended that the customer purchase high-risk, speculative securities that were inconsistent with her investment profile.\u00a0 Sica\u2019s recommendations often resulted in an undue concentration of the customer\u2019s account, which represented substantially all of her liquid assets, in speculative securities. Further, Sica often engaged in short-term in-and-out trading of the speculative investments in the customer\u2019s accounts causing substantial losses. Sica\u2019s recommendations resulted in losses of more than $150,000. The findings also stated Sica engaged in unauthorized trading by placing trades in the IZRA accounts of a customer who Sica knew was deceased causing aggregated losses on the trades totaling approximately $3,039.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/anthony-sica-of-joseph-gunnar\/\"  title=\"Continue Reading Anthony Sica of Joseph Gunnar\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Anthony Sica (CRD #1332626) has been employed by Joseph Gunnar since November 2003.\u00a0 Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January 1985 to August 1985. According [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,581,576],"tags":[1389,1391,1359,1390,209],"class_list":["post-7546","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unauthorized-trading","category-unsuitable-investment-advice","tag-anthony-sica","tag-anthony-sica-joseph-gunnar","tag-finra-arbitration-lawyer","tag-joseph-gunnar","tag-unsuitability"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Anthony Sica of Joseph Gunnar &#8212; Securities Arbitration Lawyers Blog &#8212; January 15, 2019<\/title>\n<meta name=\"description\" content=\"Anthony Sica (CRD #1332626) has been employed by Joseph Gunnar since November 2003.\u00a0 Previous employment includes Wachovia Securities, LLC from January &#8212; January 15, 2019\" \/>\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\/anthony-sica-of-joseph-gunnar\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Anthony Sica of Joseph Gunnar &#8212; Securities Arbitration Lawyers Blog &#8212; January 15, 2019\" \/>\n<meta name=\"twitter:description\" content=\"Anthony Sica (CRD #1332626) has been employed by Joseph Gunnar since November 2003.\u00a0 Previous employment includes Wachovia Securities, LLC from January &#8212; January 15, 2019\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Anthony Sica of Joseph Gunnar &#8212; 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