Soreide Law Group has come across concerning information in regard to securities broker Anthony John Leopizzi (CRD#: 1697946, Minneapolis, Minnesota). Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that seven investors brought disputes regarding Leopizzi’s sales practices. Here’s more on what these clients have alleged in these investor disputes.
A client of Ameriprise Financial Services brought a dispute about Anthony Leopizzi in March 2020. Specifically, the client alleged that Leopizzi sold stock from their account without authorization. It appears that this matter concerns TSLA shares which the client invested in until March 2020 when the broker sold them from the client’s account. Because of this, Ameriprise Financial Services opted to settle this matter through making a $27,586.23 payment in July 2020.
In a second dispute about Anthony Leopizzi as reported on BrokerCheck, an Ameriprise Financial Services client took issue with his recommendation of mutual funds. Allegedly, Leopizzi did not consider the client’s best interests when he had them invest in the strategic portfolio services account. However, this dispute was denied.
BrokerCheck also shows that a third client of Ameriprise Financial Services disputed Anthony Leopizzi’s sales practices. Particularly, Leopizzi is accused of recommending mutual funds that exceeded the Ameriprise client’s risk tolerance. It seems that this client sustained losses on those mutual fund trades. However, the securities firm denied this client’s dispute.
Also, the first dispute on Anthony Leopizzi’s BrokerCheck record comes from an American Express Financial Advisor client. Basically, the client expressed that Leopizzi did not oversee their investments properly. Evidently, American Express Financial Advisors opted to settle this client’s dispute through compensating them.
Apparently, securities broker Anthony Leopizzi denies allegations of sales practice violations as has been referenced by his clients. Have you experienced investment losses by interacting with this broker? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered millions of dollars for clients who have experienced losses because of their securities brokers and financial advisors.
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