According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ANTHONY TRICARICO, formerly with Aegis Capital Corp. of New York, NY, has been subject to 3 “Customer Disputes” and three “Regulatory” issues.  Tricarico has been in the securities industry for 37 years and was listed as a broker with 12 firms. He was with […]

The SEC brought proceedings that arise out of a failure reasonably to supervise three registered representatives (the “Registered Representatives”) with a view to preventing and detecting their violations of federal securities laws by JP Turner. Between January 1, 2008 and December 31, 2009 (the “relevant period”), for the purpose of generating commission business, these registered […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Richard Grant Cody (CRD #2794558, Registered Representative, Wall, New Jersey) was fined a total of $27,500 and suspended from association with any FINRA member in any capacity for one year. The United States Court of Appeals for the First Circuit […]