Anthony Michael Tassone, of Springfield, Massachusetts, a stockbroker registered with Wells Fargo Clearing Services LLC, was the subject of a customer initiated investment related complaint filed on October 24, 2022, in which the customer requested compensation based upon allegations that Tassone caused the customer to believe that their principal would not be reduced in an inherited annuity.
The complaint was summarily denied by his employer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Tassone was also referenced in a customer initiated investment related complaint filed on June 22, 2005, in which the customer requested $8,000.00 in damages based upon allegations that Tassone made omissions of the tax liability associated with variable annuities transactions during the period that Tassone was associated with UBS Financial Services Inc.
On December 6, 2010, a customer initiated investment related FINRA securities arbitration claim involving Tassone’s conduct was settled for $55,000.00 in damages based upon allegations that Tassone made misrepresentations of material fact and made unsuitable recommendations of structured notes when Tassone was associated with UBS Financial Services Inc. FINRA Arbitration No. 10-00596.
Tassone was associated with Wells Fargo Clearing Services LLC in Springfield, Massachusetts, as a stockbroker from February 15, 2013, to June 9, 2022.