Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial...Read More
Anthony Cipolla: $270K Complaint Against Eagle Strategies Advisor
Santa Rosa, California financial advisor Anthony Cipolla (CRD# 4559516) is involved in an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of NYLife Securities, DFPG Investments, Eagle Strategies, and Cipolla Financial.
Mr. Cipolla’s BrokerCheck report discloses one investor complaint. Filed in November 2022, it alleges that as a representative of NYLife Securities and Eagle Strategies, he did not manage the investor’s account “in the way it was agreed upon.” The pending complaint alleges damages of $270,618.
FINRA Rule 2010 states that FINRA-associated brokers must “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, including the failure to follow a customer’s directions, constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” Brokers who violate Rule 2010 may be found liable for damages in the event of losses.
According to the Financial Industry Regulatory Authority, Anthony Cipolla holds 20 years of securities industry experience. Based in Santa Rosa, California, he has been a broker with NYLife Securities since 2003, an investment advisor with DFPG Investments since 2023, and an investment advisor with Eagle Strategies since 2012. He is also the owner of Cipolla Financial. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is currently licensed in Arizona, California, Colorado, Florida, Hawaii, Idaho, Kentucky, Massachusetts, Montana, Nevada, New York, Oregon, Texas, Utah, Washington, and Wisconsin. (Information current as of January 8, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.