Anthony D'Ascoli Involved In Oppenheimer Co. Inc. Investor Dispute About Breach Of Fiduciary Duty

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.

Oppenheimer Co. Inc. Investor Accused D'Ascoli Of Negligence, Breach Of Contract

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.

Anthony D'Ascoli Disclosed Unsuitable Recommendations Allegations By Oppenheimer Co. Inc. Client

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.

Oppenheimer Co. Inc. Investor Accused D’Ascoli Of Risky Investments

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.

Anthony D'Ascoli Disclosed Unauthorized Trading Allegations By Merrill Lynch Pierce Fenner Smith Incorporated Client

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.

Have You Made Investments Through Financial Advisor / Securities Broker D'Ascoli?

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.