Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony D’ascoli (D’ascoli), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that D’ascoli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 14, 2023.
Claimants allege they suffered losses as a result of unsuitable investments and allege claims for breach of fiduciary duty, negligence, negligent misrepresentation and breach of contract. From 7/1/2021-9/20/2022.