Last Updated: February 2026 — Delray Beach, FL
Here’s what you need to know about Delray Beach, FL stockbroker Anthony D’Ascoli:
- Name: Anthony D’Ascoli
- Alias: Anthony Raymond D’Ascoli, Anthony Dascoli
- Current Employer: Oppenheimer & Co. Inc., 110 East Atlantic Avenue, Delray Beach, FL 33432 (registered since September 2013)
- Prior Firms:
- UBS Financial Services Inc. (06/2009–07/2013)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (03/2001–06/2009)
- Other Business Affiliations:
- President, A.R.D. Enterprises (real estate holding company; since 01/01/1991)
- Partner in Greenwich Estates LLC
- CRD number: 4133420
- Stockbroker / Financial Advisor. Registered representative and investment adviser representative.
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: No
- Highest Award or Settlement: $70,000
- Current Customer Dispute Seeks Total Damages of: $850,000
If you’ve sustained damages from Mr. D’Ascoli, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Anthony D’Ascoli As Your Stockbroker?
January 2026 – FINRA Case No. 26-00084 (Pending). A claimant alleges negligence, breach of contract, breach of fiduciary duty, and violations of federal securities laws and FINRA regulations concerning investments in two fixed income funds between 2013 and 2024. The arbitration seeks $850,000 in damages and is currently pending. FINRA Case# 26-0084
Prior Customer Claims Against D’Ascoli
February 2023 – FINRA Case No. 23-00366. A customer alleged unsuitable investments, breach of fiduciary duty, negligence, negligent misrepresentation, and breach of contract related to equity and ETF investments between July 2021 and September 2022. The case was settled in 2024 for $70,000.
March 2009 – Customer Complaint (Merrill Lynch). Allegations of unauthorized trading in listed equities. The complaint settled for $34,773.
January 2023 – Written Complaint (Denied). A client alleged risky and irresponsible options trading involving a November 18, 2021 transaction. The complaint sought $198,480 and was denied by the firm in 2023.
Allegations of unsuitable recommendations implicate FINRA Rule 2111 (Suitability), which requires brokers to have a reasonable basis to believe recommendations are suitable based on a customer’s investment profile. Claims involving breach of fiduciary duty and negligence may also be evaluated under SEC Regulation Best Interest (Rule 15l-1) and FINRA Rule 2010, which requires high standards of commercial honor and just and equitable principles of trade.
Allegations of Broker Misconduct Against Anthony D’Ascoli
- Unsuitability
- Breach of Fiduciary Duty
- Risky Investments
- Unauthorized Trading
Recover Your Investment Losses From Anthony D’Ascoli Now With Rex Securities Law
If you have suffered investment losses in an account handled by Anthony D’Ascoli, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.
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