DID KEITH MICHAEL DAGOSTINO CAUSE YOU INVESTMENT LOSSES?
Keith Dagostino Of EF Hutton LLC Has 13 Customer Complaints For Alleged Broker Misconduct
About Keith Dagostino of EF Hutton LLC?
Keith Dagostino (CRD #2837860) currently serves as a broker with EF Hutton LLC, having joined them on October 30, 2023. His career spans several financial institutions, with prior registrations including Aegis Capital Corp., Stifel, Nicolaus & Company, and Oppenheimer & Co. Inc. D’Agostino has passed a total of five industry exams: two Principal/Supervisory Exams (Series 9 and 24), two General Industry/Product Exams (SIE and Series 7), and one Multi-State Securities Law Exam (Series 63). He is licensed to operate in ten U.S. states and territories. His extensive experience in the securities industry highlights a broad-based knowledge and capability in financial services.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Keith Dagostino Customer Complaints and Reviews
Keith Michael D’Agostino has been involved in 13 disclosed customer disputes, all involving financial allegations:
- Settled Complaints: Notable settled complaints include:
- February 2018 – Present: Settled for $60,000; allegations of poor performance linked to equity investments during his tenure at Aegis Capital Corp.
- July 2021 – May 2023: Settled for $325,000; claims of unsuitable investment recommendations, resolved through arbitration under FINRA with Docket/Case #: 23-01643.
- 2021 – Present: Settled for $410,000; claims of unsuitable investments.
- August 2018 – Present: Settled for $35,000; involved suitability, misrepresentation, and breach of fiduciary duty related to private placements.
- Pending Complaints:
- 2024: Claims of unsuitable recommendations and account mismanagement are currently under review, with losses believed to exceed $5,000.
Allegations Against Keith Dagostino
The allegations against Keith Michael D’Agostino primarily focus on:
- Unsuitable Investment Recommendations: Several clients have claimed that the investments advised by D’Agostino did not align with their financial objectives or risk profiles.
- Poor Performance and Mismanagement: Allegations include poor handling of client portfolios, leading to performance issues.
- Breach of Fiduciary Duty: Clients have accused D’Agostino of failing to act in their best interests, which includes excessive trading and not fully disclosing investment risks.
- Misrepresentation: Some complaints also cite misrepresentations and omissions of crucial investment information.
Keith Dagostino Red Flags & Your Rights As An Investor
Of course, Keith Dagostino did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Keith Dagostino at EF Hutton LLC on alert to review carefully the activity and performance of their accounts and question whether Keith Dagostino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EF Hutton LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At EF Hutton LLC Due To Keith Dagostino
If you have questions about EF Hutton LLC and/or Keith Dagostino and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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