Anthony John Leopizzi of White Plains New York a stockbroker currently employed by Ameriprise Financial Services Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $60,000.00 in damages based upon accusations that (1) the customer’s account was mismanaged and (2) unsuitable energy-sector equity transactions were effected in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00421 (Feb. 2, 2018).
FINRA Public Disclosure confirms that Leopizzi has been identified in six more customer initiated investment related disputes containing allegations of Leopizzi’s misconduct during the time that he was registered with American Express Financial Advisors and Ameriprise Financial Services Inc. For example, on February 5, 2004, a customer filed an investment related complaint involving Leopizzi’s activities in which the customer requested $5,042.44 in damages founded on accusations that misrepresentations had been made to the customer concerning a variable universal life insurance policy purchased by the customer.
Then, on July 15, 2004, a customer initiated investment related complaint concerning Leopizzi’s activities was settled for $5,475.00 in damages supported by allegations that Leopizzi failed to supervise mutual fund transactions placed in the customer’s account, and failed to advise the customer with respect to the customer’s investment portfolio. On October 2, 2006, another customer filed an investment related complaint regarding Leopizzi’s conduct where the customer sought $40,000.00 in damages based upon accusations that the customer was poorly advised with respect to the tax liabilities relating to the customer’s investments.
Then, on November 27, 2007, a customer filed an investment related complaint involving Leopizzi’s activities in which the customer requested $300,000.00 in damages founded on allegations that mutual fund recommendations had been made to the customer which failed to conform to the customer’s tolerance for risk. On March 28, 2008, another customer filed an investment related complaint concerning Leopizzi’s conduct where the customer sought $25,000.00 in damages supported by accusations that the customer’s instructions were not followed concerning the payment of variable life insurance policy premiums. Thereafter, on March 30, 2010, a customer filed an investment related complaint regarding Leopizzi’s activities in which the customer requested $5,602.09 in damages based upon allegations that the customer was inappropriately advised concerning investment transactions placed in the customer’s strategic portfolio services account.
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