Investors have voiced complaints about securities broker Robert D'Agosta (CRD: 1903105, Center Valley, Pennsylvania). Notably, the securities broker, who worked for Berthel Fisher Company Financial Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Berthel Fisher Company Financial Services Inc. clients allege that D'Agosta committed sales practice violations, including providing unsuitable advice. For more on these disclosures about D'Agosta, see below.
Also, a client of Berthel Fisher Company Financial Services Inc. contested Robert D'Agosta’s sales practices by filing FINRA Arbitration: 22-00538. Allegedly, D'Agosta made unsuitable recommendations, made misrepresentations, and failed to perform due diligence. It appears that D'Agosta possibly caused the client to sustain damages on direct investments (limited partnership interests and direct participation program interests), real estate securities, and business development companies. Therefore, Berthel Fisher Company Financial Services Inc. opted to settle the matter on August 23, 2022, by compensating the client in the amount of $25,000.
Specifically, a Berthel Fisher Company Financial Services Inc. client filed FINRA Arbitration: 20-01791 about Robert D'Agosta. Namely, the client alleged that D'Agosta gave unsuitable advice and failed to perform due diligence. Because of this, the client allegedly sustained damages on direct investments, oil and gas investments, real estate securities, and business development companies. Therefore, on February 22, 2022, Berthel Fisher Company Financial Services Inc. settled this matter by paying the client $26,000 in damages.
Evidently, on October 16, 2019, Wisconsin issued Case: 19-C43141, sanctioning Robert D'Agosta for past arbitrations. Specifically, the regulator denied D'Agosta’s application for insurance licensure.
Specifically, a Berthel Fisher Company Financial Services Inc. client filed FINRA Arbitration: 17-01004 about Robert D'Agosta. Namely, the client alleged that D'Agosta made unsuitable recommendations, made misrepresentations, failed to supervise registered representatives, and failed to perform due diligence. Because of this, the client allegedly sustained damages on limited partnership interests and direct participation program interests, oil and gas investments, real estate securities, and business development companies. Therefore, on May 30, 2019, Berthel Fisher Company Financial Services Inc. settled this matter by paying the client $500,000 in damages.
Specifically, a Berthel Fisher Company Financial Services Inc. client filed FINRA Arbitration: 16-03759 about Robert D'Agosta. Namely, the client alleged that D'Agosta provided unsuitable advice, violated FINRA rules, violated state laws, breached a contract, breached a fiduciary duty, was negligent, was negligently supervised, made misrepresentations, acted unethically, and failed to perform due diligence. Because of this, the client allegedly sustained damages on REITs and limited partnership interests. Therefore, on December 11, 2018, a FINRA Arbitration Panel issued an Award ordering Berthel Fisher Company Financial Services Inc. and D'Agosta to collectively pay the client $100,000 in compensatory damages as well as $100,000 in punitive damages.
Particularly, on May 23, 2017, a Berthel Fisher Company Financial Services Inc. client filed FINRA Arbitration: 17-00807 about Robert D'Agosta. Namely, the client alleged that D'Agosta made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Therefore, the client requested compensation from Berthel Fisher Company Financial Services Inc. or D'Agosta. Evidently, this arbitration is denied.
Did you suffer damages due to the sales practices of Robert D'Agosta? If so, you can contact Soreide Law Group at (888) 760-6552 and talk with an investment lawyer regarding a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Please keep in mind that D'Agosta and brokerage firms D'Agosta worked for deny all allegations of sales practice violations.
RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC […]
MARIO L MARTINEZ formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 5/1/2025. Martinez was registered as a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL from 10/23/2015 […]
Investors have reportedly disputed the sales practices of securities broker Ronald Albert Gelok Jr. (also known as Ron Gelok) [CRD: 1403352, Naples, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gelok worked for Ronald Gelok Associates LLC from November 17, 2017, to the present, and AAG Capital Inc. from July 8, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com