Investors apparently complained about securities broker Richard Phillip Anthony [CRD: 1811812, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Anthony worked for Oppenheimer Co. Inc. from December 13, 2019, to August 12, 2022, and again from May 14, 2024, to February 13, 2026. See the following information to learn more about the disclosures involving Richard Anthony.
Particularly, an Oppenheimer Co. Inc. client filed a client complaint about Richard Anthony. Mainly, the client alleged that Anthony made misrepresentations regarding an options trading hedge strategy tied to the client’s equities portfolio, which allegedly resulted in significant trading losses between June 1, 2025, and October 30, 2025. For this reason, the client allegedly experienced damages. Consequently, on February 3, 2026, Oppenheimer Co. Inc. settled this matter by paying the client $675,000.
Evidently, a client of Alex Brown Incorporated disputed Richard Anthony’s sales practices by filing NASD Arbitration No. 97-01915. Allegedly, Anthony made misrepresentations concerning the nature of an options strategy in an account over which he allegedly exercised discretionary authority. It appears that Anthony allegedly caused the client to incur damages. Therefore, Alex Brown Incorporated agreed to settle the matter on January 15, 1998, by compensating the client in the amount of $1,500,000.
Also, an Alex Brown Sons client filed a client complaint about Richard Anthony. Primarily, the client alleged that Anthony mismanaged an account, resulting in losses of principal and missed investment opportunities allegedly exceeding $3.8 million. Because of this, the client allegedly suffered damages on options. As a result, on September 1, 1995, Alex Brown Sons settled this matter by paying the client $3,500,000.
Are you worried about investments you made through Richard Anthony? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Anthony and brokerage firms Anthony worked for deny accusations of sales practice violations.
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