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.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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