Anthony D’Ascoli: Oppenheimer Advisor Lands $850K Complaint

A recent investor complaint against Delray Beach, Florida financial advisor Anthony D’Ascoli (CRD# 4133420) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.

Mr. D’Ascoli’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in January 2026, alleges that as a representative of Oppenheimer & Company, he acted negligently, breached contract, violated industry regulations, and breached his fiduciary duty in connection with fixed income funds. The pending complaint alleges damages of $850,000.

In a statement included with the complaint’s disclosure, Mr. D’Ascoli defended himself against the allegations by the claimant, whom he describes as a longtime client whom he “successfully helped” achieve “substantial” gains. “Over a 10-year period, the client made five separate investments into two fixed income funds,” he wrote. “While these specific funds recorded losses, those results were the product of adverse market conditions. I have always conducted myself with the highest degree of professionalism and integrity. I categorically deny all allegations of wrongdoing and intend to vigorously defend my reputation against these unwarranted claims.”

An earlier investor complaint, filed in 2023, alleged that as an Oppenheimer & Company representative, he recommended unsuitable investments, breached his fiduciary duty, acted negligently, misrepresented material facts, and breached contract. In 2024 the complaint reached a settlement of $70,000. “I at all times conducted myself in an appropriate and professional manner,” he wrote in a statement included with the disclosure. “I deny all allegations of wrongdoing, and intend to vigorously defend myself against the false, unwarranted and unsubstantiated allegations.”

A third investor complaint, filed in 2009, alleged that as a representative of Merrill Lynch, he made unauthorized trades. The complaint reached a settlement of $34,773.15.

According to the Financial Industry Regulatory Authority, Anthony D’Ascoli holds 25 years of securities industry experience. Based in Delray Beach, Florida, he has been registered as a broker and an investment advisor with Oppenheimer & Company. His past registrations include UBS Financial Services and Merrill Lynch. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. He holds 21 state licenses. (Information current as of February 15, 2026.)

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