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Customer Alleged Keith D’Agostino Breached His Fiduciary Duty

Keith D’Agostino

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 1, 2018 indicate that New York-based Aegis Capital broker Keith D’Agostino has been involved in several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. D’Agostino (CRD# 2837860).

Keith D’Agostino has spent twenty-one years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2014. Previous registrations include Stifel Nicolaus & Company in Oyster Bay, New York (2010-2014); Oppenheimer & Company in Melville, New York (2005-2010); Ladenburg Thalmann & Company in New York, New York (2003-2005); Wachovia Securities in St. Louis, Missouri (2003); Quick & Reilly in New York, New York (2002-2003); and Ladenburg Capital Management in Bethpage, New York (1997-2002). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 18, 1997; Series 7 (General Securities Representative Examination), which he obtained on March 11, 1997; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on May 4, 2001; and Series 24 (General Securities Principal Examination), which he obtained on January 6, 2000. He is a registered broker with ten US states: California, Florida, Illinois, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Texas, and Washington. He is registered with three self-regulatory organizations (SROs): FINRA, NYSE Arca, and the Nasdaq Stock Exchange.

According to his BrokerCheck report, Keith D’Agostino has received two customer complaints.

In May 2017 a customer alleged Keith D’Agostino, while employed at Aegis Capital Corporation, recommended investments that performed poorly from January 2016 until December 2016. The complaint settled for $92,000.

In 2013 a customer alleged Keith D’Agostino, while employed at Stifel Nicolaus & Company, breached his fiduciary duty, acted negligently, committed fraud, violated Florida law, and engaged in unjust enrichment. The complaint settled in 2014 for $220,000.

If you or someone you know has lost money investing with Keith D’Agostino, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.