Erik Patrick Pica
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK PATRICK PICA (CRD No. 4829533), Respondent. Respondent is barred from associating with any FINRA member in any capacity for converting and misusing customer funds; providing false and misleading information to a customer, to a FINRA member firm, and to FINRA staff; testifying falsely in on-the-record testimony under FINRA Rule
10/25/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Erik Patrick Pica CRD No. 4829533, Respondent. Disciplinary Proceeding NO. 2019061947501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In February 2019, while registered through Joseph Stone Capital L.L.C. (CRD No. 159744) ("Joseph Stone" or the "Firm"), Respondent Erik Patrick Pica converted and
Reference 2019061947501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4829533 |
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