Anthony Ghiglieri, of Hauppauge, New York, a stockbroker registered with Ameriprise Financial Services LLC, was the subject of a customer initiated investment related complaint filed on October 18, 2023, in which the customer requested $31,500.00 in damages based upon allegations that Ghiglieri provided unsuitable investment advice to the customer when Ghiglieri was associated with Ameriprise Financial Services LLC.
This is not the first time that Ghiglieri has been referenced in a customer initiated investment related dispute concerning Ghiglieri’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Ghiglieri was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $9,500.00 in damages based upon allegations that Ghiglieri made omissions of material fact about investment risks and made unsuitable recommendations in structured products when Ghiglieri was associated with HSBC Securities USA Inc. FINRA Arbitration No. 21-02128 (November 18, 2021).
Ghiglieri was also referenced in a complaint filed on November 11, 2022, in which the customer requested $52,500.00 in damages based upon allegations that Ghiglieri engaged in unauthorized trading in municipal bonds during the time that Ghiglieri was associated with Ameriprise Financial Services LLC. This complaint was denied.
Ghiglieri has been associated with Ameriprise Financial Services LLC in Hauppauge, New York since October 26, 2020. Ghiglieri was associated with HSBC Securities (USA) Inc. in Manhasset, New York from February 21, 2013, to November 2, 2020.
