Last Updated: January 2025 (Dublin, OH / Boca Raton, FL)
Tony Mampieri Investigation Summary
Here’s what you need to know about Dublin, OH & Boca Raton, FL, stockbroker Tony Mampieri:
- Name: Anthony Ralph Mampieri
- Current Employer: Wells Fargo Advisors Financial Network, LLC (since 10/2023)
- Prior Employers: Morgan Stanley (8/2010-10/2023), Robert W. Baird & Co.
- DBA: Mampieri Financial Services
- CRD Number: 1653703
- Function: Stockbroker / Registered Investment Advisor
- Primary Locations: Dublin, OH/ Boca Raton, FL
- Aliases: Tony Mampieri
- Can Tony Mampieri be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $110,000
- Pending Customer Dispute Seeks Damages of: $7,700,000
If you’ve sustained damages from Mr. Mampieri, , discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Tony Mampieri As Your Stockbroker?
A customer of Morgan Stanley filed a complaint on January 8, 2025, alleging that their accounts were not managed in their best interests from 2010 to 2023, and is seeking $7,700,000 in damages.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
FINRA Rule 2111- suitability -Regulation Best Interest
In a prior dispute filed by a customer of Morgan Stanley, claimants alleged unsuitability regarding structured products from 2011 to 2016, resulting in a settlement of $110,000 on January 3, 2018.
Structured Products: Sometimes referred to as market-linked investments, Structured Products are pre-packaged investments whose performance is linked to an underlying asset, product or index. ( a single security, basket of securities, options, indicies, commodities, debt issuance, foreign currencies or derivatives). See this for FINRA’s Investor Insights “Understanding Structured Notes with Principal Protection”
Allegations of Broker Misconduct Against Anthony Mampieri
Customers of Anthony Mampieri have alleged the following misconduct in connection with the handling of their accounts:
- Unsuitable Investment Recommendations:
- Failure to Act in the Client’s Best Interests:
The Financial Industry Regulatory Authority (FINRA) mandates that brokers disclose customer disputes, regulatory sanctions, and other pertinent information about their conduct.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Morgan Stanley Brokers
If you have suffered investment losses in an account handled by Tony Mampieri, 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.