Tony Mampieri: $7.7mm Complaint Against Wells Fargo Advisor

A recent investor complaint against Dublin, Ohio financial advisor Tony Mampieri (CRD# 1653703) alleges that his conduct resulted in more than $7 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors.

Mr. Mampieri’s BrokerCheck report discloses two investor complaints. The most recent, filed in December 2024, alleges that as a representative of Morgan Stanley he did not manage the customer’s accounts in her best interests. The pending complaint alleges damages of $7.7 million.

An earlier investor complaint, filed in 2016, alleged that as a Morgan Stanley representative, he recommended unsuitable structured product investments. In 2018 the complaint reached a settlement of $110,000.

The website for Ascend Advisory Group, which offers investment products and services through Wells Fargo, includes a profile of Mr. Mampieri that describes his approach to working with his clients. “He will work with you to preserve and grow your wealth, relying on the insights of seasoned investment professionals, a premier trading and execution platform, and a full spectrum of investment choices,” it explains. “His goal is to help clients with their personal wealth, retirement planning, lending facilities, and proper asset allocation based on specific risk tolerance and expectations.”

According to the Financial Industry Regulatory Authority, Tony Mampieri holds 37 years of securities industry experience. Based in Dublin, Ohio, he has been registered as a broker and an investment advisor with Wells Fargo Advisors since 2023. His registration history includes Morgan Stanley (2010-2023), Robert W. Baird & Company (1998-2010), Northwestern Mutual Investment Services (2002), Fifth Third/The Ohio Company (1988-1998), and Sherwood Capital (1987-1988). His credentials include the passage of four securities industry qualifying exams: the General Securities Sales Supervisor Exam – Options Module & General Module, or Series 8; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Florida, Georgia, Illinois, Maryland, Michigan, Nevada, New York, Ohio, Pennsylvania, and Virginia. (Information current as of January 18, 2025.)

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