May 11, 2024

Keith D’Agostino Involved In Aegis Clients’ Suitability Complaints

an older woman looks sad because of bad stock broker advice

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith M. D’Agostino [CRD: 2837860, Woodbury, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, D’Agostino worked for Aegis Capital Corp. from October 3, 2014, to November 29, 2023, before his current registration with EF Hutton LLC starting October 30, 2023. Continue reading to learn more about the disclosures filed against D’Agostino and the implications for affected investors.

EF Hutton LLC Investor Accused Keith D’Agostino Of Breach Of Fiduciary Duty

Specifically, on January 26, 2024, an EF Hutton LLC client filed FINRA Arbitration No. 24-00204 about Keith Michael D’Agostino. Supposedly, D’Agostino breached his fiduciary duty  and made unsuitable recommendations. Because of this, the client allegedly sustained damages on stocks. Consequently, the client requested compensation from EF Hutton LLC or D’Agostino. Evidently, this arbitration is pending a resolution.

D’Agostino Accused Of Poor Performance By Aegis Capital Corp. Client

Particularly, a client of Aegis Capital Corp. contested Keith Michael D’Agostino’s sales practices, according to a complaint received on November 3, 2023. Allegedly, D’Agostino recommended investments which poorly performed. Therefore, Aegis Capital Corp. opted to settle the matter on December 14, 2023, by compensating the client in the amount of $60,000.

Keith D’Agostino Disclosed Unsuitable Advice Allegations

Notably, on August 14, 2023, a client of Aegis Capital Corp. contested Keith M. D’Agostino’s sales practices by filing FINRA Arbitration No. 23-02224. Allegedly, D’Agostino made unsuitable investments. It appears that D’Agostino allegedly caused the client to sustain damages on real estate securities and stocks. Consequently, the Aegis Capital Corp. client seeks compensatory damages in this ongoing matter.

Investor Accused Securities Broker Of Bad Investments

Evidently, on August 7, 2023, an Aegis Capital Corp. client filed FINRA Arbitration No. 23-02166 about Keith D’Agostino. Supposedly, that D’Agostino sold unsuitable investments. Because of this, the investor requested compensation from Aegis Capital Corp. This matter is ongoing.

Aegis Client Accused Keith D’Agostino Of Unsuitable Investment Recommendations

Also, an Aegis Capital Corp. client filed FINRA Arbitration No. 23-01643 about Keith D’Agostino. Mainly, the client alleged that D’Agostino made unsuitable investment recommendations. Therefore, the client allegedly sustained damages on stocks. Therefore, on February 5, 2024, Aegis Capital Corp. settled this matter by paying the client $325,000 in damages.

Keith D’Agostino Disclosed Allegations By Aegis Capital Corp. Client

In addition, a client of Aegis Capital Corp. contested Keith D’Agostino’s sales practices by filing FINRA Arbitration No. 23-01200. Allegedly, D’Agostino executed unsuitable investment transactions. Consequently, Aegis Capital Corp. opted to settle the matter on March 26, 2024, by compensating the client in the amount of $410,000.

Did You Sustain Losses Because Of Keith D’Agostino?

Experienced losses because of Keith D’Agostino? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. D’Agostino and the brokerage firms he worked for deny accusations of sales practice violations.

Recent Posts

July 23, 2024
Christopher McCoy In Calton Client Complaints

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

July 22, 2024
Brian Freeman In Securian Clients’ Complaints

Investors possibly experienced losses because of securities broker Brian Lee Freeman [CRD: 1379227, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brian Freeman worked for Securian Financial Services Inc. from June 23, 1988, to August 10, 2023. Here’s an overview of Brian Freeman’s disclosures. Securian Financial Services Inc. Investor […]

July 22, 2024
Andrew Komarow Barred By SEC, FINRA

Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2022 Soreide Law Group, PLLC  |  All Rights Reserved
linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram