Investors have reportedly disputed the sales practices of securities broker Anthony Raymond D'Ascoli (also known as Anthony Dascoli) [CRD: 4133420, Delray Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony D'Ascoli has worked for Oppenheimer Co. Inc. since September 5, 2013, as a broker, and since September 11, 2013, as a financial advisor. Keep reading to learn more about the securities broker’s disclosures.
Notably, on January 22, 2026, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 26-00084 about Anthony D'Ascoli. Mainly, the client alleged that D'Ascoli was negligent, breached a contract, violated federal securities laws, and breached his fiduciary duty. For this reason, the investor allegedly sustained damages associated with mutual funds and private funds. Therefore, the client requested $850,000 in compensation from Oppenheimer Co. Inc. or D'Ascoli. BrokerCheck shows that this arbitration awaits a resolution.
Specifically, a client of Oppenheimer Co. Inc. contested Anthony D'Ascoli’s sales practices by filing FINRA Arbitration No. 23-00366. Allegedly, D'Ascoli made unsuitable recommendations, was negligent, breached a contract, and breached his fiduciary duty. It appears that D'Ascoli allegedly caused the client to sustain damages connected to stocks and exchange-traded funds. Consequently, Oppenheimer Co. Inc. opted to settle the matter on February 21, 2024, by compensating the client in the amount of $70,000.
Also, on January 31, 2023, an Oppenheimer Co. Inc. client filed a complaint about Anthony D’Ascoli. Primarily, the client alleged that D'Ascoli recommended risky investments. Because of this, the client allegedly incurred damages relating to options. Therefore, the client requested $198,480 in compensation from Oppenheimer Co. Inc. or D'Ascoli. However, the firm denied this complaint.
Particularly, a client of Merrill Lynch Pierce Fenner Smith Incorporated disputed D'Ascoli’s sales practices, according to a complaint. Allegedly, D'Ascoli engaged in unauthorized trading. It appears that D'Ascoli allegedly caused the client to suffer damages linked to stocks. Consequently, Merrill Lynch Pierce Fenner Smith Incorporated opted to settle the matter on March 16, 2009, by compensating the client in the amount of $34,773.15.
Did you suffer any investment-related losses because of Anthony D'Ascoli? You should contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the country. Also, the firm works on a contingency fee basis and advances all costs. D'Ascoli and brokerage firms D'Ascoli worked for deny any allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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