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Daniel Leonard Ascani with LPL Financial, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Daniel L. Ascani with LPL Financial, LLC?

Daniel Ascani (CRD #1098977) who is currently registered with LPL Financial, LLC and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to LPL Financial, LLC, Daniel Ascani was associated with Ameriprise Financial Services, Inc. and 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial, LLC And Ameriprise Financial Services Broker Misconduct

In his career, Daniel Ascanihas been the subject of 2 customer complaints that we know about, one of those complaints was filed against Ameriprise Financial Services in the last year to recover investment losses.

One of Daniel Ascani’s customer complaints was denied by LPL Financial, LLC and the investor took no further action. The other customer complaint recently filed against Daniel Ascani’s former employer Ameriprise Financial Services for investment losses caused by his alleged misconduct is still pending.

Allegations Against Daniel Ascani

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The customer alleged unsuitable investment recommendations purchased non-traded REITs.
  • The claimant alleged illiquidity of 2 alternative investments had not been disclosed at the time of purchase.

Daniel Ascani Red Flags & Your Rights as An Investor

Of course, Daniel Ascani did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Daniel Ascani at LPL Financial, LLC and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Ascani has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at LPL Financial, LLC and Ameriprise Financial Services, Inc. which also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at LPL Financial, LLC And Ameriprise Financial Services

If you have questions about LPL Financial, LLC, Ameriprise Financial Services, Inc., and/or Daniel Ascani and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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