Anthony Sica of Joseph Gunnar & Co. in New York is Barred

Did you lose money with Anthony Sica of Joseph Gunnar & Co in New York, New York? Contact the securities and investment fraud law firm of Israels & Neuman for a Free Case Evaluation.

Allegations by FINRA

FINRA initiated an investigation into Anthony Sica. According to FINRA’s AWC,
he “refused to appear for on-the-record testimony requested by FINRA, as part of its targeted examination of Sica’s member firm’s practices regarding public and private offerings of small-capitalized exchange-listed issuers”. Pursuant to FINRA Rule 8210, he was barred from the securities industry.

Anthony Sica History

Anthony Sica was affiliated with Joseph Gunnar & Co. from 2003 to May 2024. He worked in a New York City office and has also been the subject of four customer complaints. He was previously suspended by FINRA for three months in 2017 and was also fired by Joseph Gunnar & Co. in May 2024.

Joseph Gunnar & Co Potential Responsibility

Pursuant to FINRA Rule 3110, broker-dealers like Joseph Gunnar & Co. must reasonably supervise the activities of their representatives. If a firm does not adequately supervise their advisors, it could be liable for any investor harm.

Our firm represents investors throughout the country as well as New York, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.

If you were a client of Anthony Sica and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Israels & Neuman for a Free Case Evaluation

Call us at (720) 599-3505 or (206) 795-5798 or fill out our inquiry form online.

Client Reviews

What are past clients saying about Israels & Neuman, PLC?

Submit a Law Firm Client Review

Aaron Israels was diligent, professional, knowledgeable and extremely thorough. My legal ordeal was quite cumbersome but Aaron was present, willing and ready to go the extra mile for me. I HIGHLY RECOMMEND, Israels and Neuman, PLLC for...

Kay H.

I have worked with many attorneys over the course of my career in both large and small businesses. Dave and Aaron are an outstanding legal team. I used Dave and Aaron for a personal situation that called for a hands on detailed approach. I found...

Fred S.

Aaron created our wills and offered solutions that made the process easy and pain free. We recently needed to amend our wills, and he made suggestions that made a better distribution that we had not thought of prior to meeting with him. He was...

Debra K.

I have worked with Aaron Israels for over eight years and can confidently say that he is the most honest and hard-working attorney I know. He not only gets results, but he also genuinely cares about his clients and colleagues. If you have a...

Tony E.

Mr. Aaron Israels set up our business by listening to us and creating a structure legal structure that was exactly what we wanted and needed. All of the work was set up in a binder for easy access to all information along with clear instructions...

Tom K.