Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an active investigation into Anthony Sica (CRD# 1332626) of Joseph Gunnar & Co. LLC following investor complaints, regulatory disclosures, and recent termination for compliance failures in New York, NY. If you suffered losses dealing with Anthony Sica or suspect misconduct, our attorneys are here to advocate for your recovery.
With over 95 years of combined securities law experience and a 98% success rate on investor claims, our firm aggressively pursues recovery options for individuals harmed by investment misconduct. We have handled cases involving over $520 million in securities matters, earning designations as Super Lawyers and Top 2% AV Preeminent-rated by Martindale-Hubbell. Our 5.0-star client reviews reinforce our reputation for excellence—and our “No recovery, no fee” policy ensures our incentives are aligned with yours.
Who Is Anthony Sica?—A Detailed Broker Background
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Anthony Sica (CRD# 1332626) was most recently employed by Joseph Gunnar & Co. LLC until May 2024, following a lengthy career with major Wall Street brokerages. Sica’s recent termination—specifically for “failure to comply with internal supervisory procedures”—and a personal bankruptcy raise questions about his conduct, disclosures, and the suitability of investments he recommended to clients.
- Registered first in 2017; terminated by Joseph Gunnar & Co. LLC in May 2024
- No other broker-dealer affiliations identified
- View BrokerCheck profile
Key Red Flags and Compliance Failures
Our investigation into Anthony Sica has uncovered several red flags and warning signs that investors should carefully review before entrusting their funds:
- Missed Regulatory Disclosures: FINRA fined Sica $2,500 (June 2024) for failing to amend his Form U4 following a 2022 bankruptcy. This censure signals lapses in the honesty and transparency expected of financial advisors.
- Chapter 7 Bankruptcy (2022): Sica filed for personal bankruptcy, suggesting possible financial distress and potential conflicts of interest regarding financial advice or trading behavior.
- Employment Termination (2024): Joseph Gunnar & Co. LLC discharged Sica for violation of internal controls—another potential signal of compliance gaps that can significantly impact investor outcomes.
Examining the Public Record: Complaints and Lawsuits
According to FINRA BrokerCheck and thorough review of federal and state court dockets, there are no publicly reported customer-initiated arbitrations or lawsuits naming Anthony Sica as a respondent or defendant. However, the absence of public customer disputes does not fully rule out the possibility of client harm or unresolved misconduct. Investors should evaluate their account activity and investment history for any signs of losses or poor recommendations.
Regulatory Actions and Disclosure Events
| Date | Action | Summary |
|---|---|---|
| June 2024 | FINRA Rule 9554 Censure | Fined $2,500 for late U4 disclosure of 2022 bankruptcy |
| May 2024 | Employment Termination | Discharged by Joseph Gunnar & Co. LLC for internal compliance issues |
| 2022 | Bankruptcy Filing | Chapter 7 bankruptcy, discharged in 2023 |
Potential Red Flags for Investors
- Personal Financial Stress: Advisors facing their own financial difficulties may be more likely to recommend unsuitable, high-commission products or pursue risky investment strategies.
- Compliance Lapses: Late regulatory disclosures, especially related to bankruptcy or legal events, suggest possible integrity and oversight concerns.
- Discharge for Supervision Violations: If an advisor is terminated for failing to follow firm protocols, investors should closely examine their accounts for unauthorized trades, unsuitable recommendations, or excessive fees.
Investor Actions: What Should You Do Next?
If you invested with Anthony Sica at Joseph Gunnar & Co. LLC and have experienced:
- Unexplained losses or substantial account declines
- Investments inconsistent with your goals or risk tolerance
- Recommendations for complex, illiquid, or high-commission products
- Unauthorized trades or unclear account statements
It is critical to act quickly to explore your recovery options. Our attorneys utilize their former Wall Street defense background and insider knowledge to forensically review your accounts and pursue maximum recovery—even in the absence of previous lawsuit filings.
Our Commitment: Why Investors Choose Us
- 98% recovery rate—Hundreds of successful claims for wronged investors
- 95+ years’ combined experience with former defense and regulatory attorneys
- $520+ million in securities matters handled
- NO RECOVERY, NO FEE—Only pay if we recover your funds
- Top 2% peer-reviewed (Martindale-Hubbell AV Preeminent) and Super Lawyers-designated
- 5.0-star client reviews for personal, effective representation
Get a Free, No-Obligation Case Review
Concerned about your experience with Anthony Sica or investments at Joseph Gunnar & Co. LLC? Our investigation is ongoing, and we encourage you to contact our attorneys for a confidential, FREE consultation. Even if no public complaint is currently on file, if you suffered unexplained losses, unsuitable recommendations, or suspect unauthorized activity, you may have a claim for recovery.
Take action now. Call our attorneys at 1-888-885-7162 or visit our website to speak confidentially, or click to review Anthony Sica’s BrokerCheck record. Let us leverage our insider knowledge and proven success to advocate for your recovery.
Every dollar you lost matters. Our firm stands ready to fight for the recovery and justice you deserve—take the first step today.
