Soreide Law Group is examining potential claims for investors who may have suffered financial setbacks involving Gary Costello [CRD: 6117388, Boca Raton, Florida]. Evidently, he joined Aegis Capital Corp. in Boca Raton, Florida on September 11, 2023. Prior associations of Costello include Truist Advisory Services Inc. and Oppenheimer Co. Inc. This article outlines information about Gary Costello's history of client disputes.
On December 19, 2023, an Oppenheimer Co. Inc. investor lodged FINRA Arbitration No. 23-03584 targeting Gary Costello. The client claimed that Costello made unsuitable, unauthorized, and over-concentrated investments in equities, stocks, and ETFs. Supposedly, his trading amounted to violations of FINRA regulations. Consequently, the client seeks $300,000 in damages from either Oppenheimer Co. Inc. or Costello, with the arbitration currently pending resolution.
Also, a complaint emerged on August 25, 2023, when a Truist Investment Services Inc. client contested the sales tactics of Gary Costello. The client accused Costello of unauthorized trading in 2023, leading to stock losses. As a result, the client is pursuing compensatory damages from Truist Investment Services Inc. or Costello. However, this case remains unresolved.
In a separate incident dated August 16, 2023, another Truist Investment Services Inc. client voiced concerns over Gary Costello’s trading practices. Specifically, the investor alleged unauthorized trades executed by Costello between December 2022 and August 2023, causing losses in stocks. The client, therefore, demands compensation from Truist Investment Services Inc. or Costello, with the firm estimating the alleged losses to exceed $5,000.
Also, Truist Investment Services Inc. severed ties with Costello on August 14, 2023. The termination followed a company investigation into trade corrections and questionable margin activities involving both Costello's personal and client accounts.
If you've encountered financial losses due to Gary Costello's actions, reach out to Soreide Law Group online or at (888) 760-6552. Explore your options for potentially reclaiming investment losses. With a commitment to aiding investors nationwide, Soreide Law Group operates on a contingency fee basis. Evidently, Costello and his former employers deny the claims of sales practice violations.
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Charles Burks II (also known as Bill Burks) [CRD: 2944992, Flower Mound, Texas]. William Burks has been registered with Centaurus Financial, Inc. since 2000 and has amassed over 27 years of experience in the securities industry. Recent disclosures reveal concerns about Burks’ conduct, […]
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Luke M. Johnson (also known as Luke Johnson) [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities, Inc. from April 2012 to December 2019. Recent disclosures reveal concerns about Johnson’s conduct, including allegations of unsuitable recommendations, misrepresentation, and regulatory violations. Coastal Equities Client Files […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]