Keith Michael Dagostino, a currently registered broker in Melville, NY, is subject to multiple customer dispute disclosures alleging unsuitability and misrepresentation, among others, according to his Brokercheck Report.
Rosca Scarlato LLC attorney Alan Rosca and his colleagues are investigating the circumstances surrounding Dagostino’s customer dispute disclosures. Investors who are concerned about their investments with Keith Dagostino may contact Alan Rosca for a free case evaluation or to provide any helpful information by calling 888-998-0530 toll free, emailing arosca@rscounsel.law, or through the contact form found on our website.
Dagostino Has Been Subject to Customer Dispute Disclosures
In August 2023, two customer dispute disclosures were disclosed on Dagostino’s Brokercheck. In both, the claimants requested unspecified damages and alleged unsuitable investments involving common & preferred stock investments. (Case #: 23-02166; Case #: 23-02224).
Similar allegations were made in a customer dispute disclosure reportedly filed in June of 2023 (Case #: 23-01643). The claimant alleged unsuitable recommendations and requested $300,000 in alleged damages.
Another customer dispute disclosure was allegedly filed in May of 2023 (Case #: 23-01200). The customer alleged unsuitable investments between 2021 to the present.
Dagostino was reportedly subject to a customer dispute disclosure received in March of 2023, which alleged suitability and poor performance. The claimant requested $118,234.37 and the reported settlement was $90,000.
A customer dispute disclosure was allegedly received in February of 2022 (Case #: 22-00214). The customer alleged misrepresentation and breach of fiduciary duty involving a private placement investment, among others. $400,000 was reportedly requested in alleged damages and the dispute shows as settled for $35,000.
In May of 2017, a customer dispute disclosure alleged poor performance in 2016, requested $170,000 in alleged damages and reportedly settled for $92,000.
Dagostino was allegedly subject to a customer dispute disclosure processed in August of 2013 (Case #: 13-02227). The customer alleged negligence, fraud, and breach of fiduciary duty, among others, and requested $725,000 in alleged damages. The dispute was reportedly settled for $220,000, of which $110,000 was reported as Individual Contribution on Keith Dagostino’s Brokercheck Report.
Concerned about investments with
Keith Dagostino Has Been a Registered Broker Since 1997
According to his Brokercheck Report, Keith Dagostino has been registered as a broker with AEGIS Capital Corp., in its Melville, New York office, since 2014.
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. Dagostino allegedly was a broker for Oppenheimer & Co., Inc., in Melville, New York, from 2005 to 2010.
Potential Compensation Claims for Concerned Dagostino Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating circumstances surrounding registered broker Keith Dagostino’s customer dispute disclosures alleging unsuitability and misrepresentation, among others.
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. This means that it advances the case costs and expenses, and fees are only paid from any compensation retrieved for clients. Attorney Alan Rosca, an investment loss lawyer and former adjunct professor of securities regulation, has over 14 years of experience representing investors who have experienced investment loss due to broker misconduct.
Investors who are concerned about their investments with Keith Dagostino may contact attorney Alan Rosca for a free no-obligation consultation by calling toll-free 888-998-0530, via email at arosca@rscounsel.law, or through the contact form provided on our website.
It is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any Brokercheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. Readers should note that sometimes brokers may be able to expunge past customer complaints from their Brokercheck record, such that complaints referenced as of the date of this blog may not necessarily be reflected in future versions of the Brokercheck record. While the customer complaints mentioned in the Brokercheck report allege misconduct by Keith M. Dagostino, the Brokercheck report does not appear to indicate whether he was a named party to those customer complaints, or the customers took action solely against the broker-dealer firm(s) that employed him at the time of the alleged conduct. Readers interested to learn more are encouraged to read the Brokercheck report or contact the Rosca Scarlato investor lawyers.
