DAVID ALEXANDER RICCA

04/12/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID ALEXANDER RICCA (CRD No. 3202131), Respondent. Disciplinary Proceeding No. 2006004672701 COMPLAINT The Department of Enforcement alleges: JURISDICTION 1. Respondent David Alexander Ricca ("Respondent") first became registered with NASD as a General Securities Representative ("GSR") on February 29, 2000. 2. From August 2000 to October 2004, Respondent was registered as a GSR through a member firm. 3. From on or about October

08/22/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY 1 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID ALEXANDER RICCA (CRD No. 3202131), Respondent. Disciplinary Proceeding No.2006004672701 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom August 22, 2007 For conversion of customer funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any FINRA member in any capacity. In light of

Reference 2006004672701data-portal.finra.orgdata-portal.finra.orgfinra.org