Anthony Tricarico – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Anthony Tricarico CRD #1047416
Anthony Tricarico is a previously licensed financial advisor with Aegis Capital Corp.
According to FINRA, Anthony Tricarico was fined $5,000 and suspended from the securities industry for six months in February 2021.
According to FINRA Allegations:
Tricarico consented to the sanctions and to the entry of findings that he engaged in excessive and quantitatively unsuitable trading in the accounts of his member firm’s customers. The findings stated that Tricarico’s trading in the accounts of his firm customers generated high cost-to-equity ratios and turnover rates as well as significant losses and commissions. Because Tricarico recommended the trading in the customers’ accounts and they routinely followed his recommendations, Tricarico exercised de facto control over the customers’ accounts. Collectively, the customers paid $44,733 in commissions and trading costs, and incurred losses of $39,848.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Anthony Tricarico and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Anthony Tricarico’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Anthony Tricarico and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 10/14/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.