MELVILLE, NEW YORK

Have you lost money with financial advisor Keith D’Agostino of Melville, New York? Keith D’Agostino has been affiliated with Aegis Capital Corp. since October 2014 and worked in a Melville, New York office.

In June 2023, Keith D’Agostino was the subject of his sixth customer complaint, four of which have been made since 2022. The three most recent complaints make allegations regarding unsuitable stocks sold to customers, and a 2022 complaint takes issue with a private placement sold to a client.

FINRA Rule 2111 states that advisors like D’Agostino must make suitable investment recommendations, based on the customer’s risk tolerance, investment objectives, age, and other factors. Failures to follow Rule 2111 could make D’Agostino and/or Aegis Capital Corp. responsible for financial damages.

Israels & Neuman PLC is a securities and investment fraud law firm that represents investors throughout the nation, including in New York and New Jersey. We have also sued dozens of different brokerage firms in the past, including Aegis Capital Corp.

View D’Agostino, k BrokerCheck 7.7.23

If you lost money with Keith D’Agostino, or Aegis Capital Corp., please Contact Us at (206) 795-5798 for a free evaluation of your case.

FARMINGTON, MISSOURI Have you invested with stockbroker Ray Reese in Farmington, Missouri? The investment fraud and FINRA arbitration law firm of Israels & Neuman is looking into claims made against Ray Reese, with Money Concepts Capital. Ray Reese has been the subject of seven customer complaints, including four of which have been made since 2020.

According to BrokerCheck, a complaint was filed in May 2023 alleging that Reese breached his fiduciary duty and made unsuitable investment recommendations in connection with investments in real estate and private placements. The real estate and private placement investments allegedly lost $450,000.

FINRA Rule 2111 states that stockbrokers must make investment recommendations that are suitable for the customer considering their age, risk tolerance, investment objectives, and other factors. Failure to abide by FINRA’s suitability rules can subject the broker and his/her firm to liability for losses.

Our law firm has previously sued Money Concepts Capital, and we previously have represented investors in Missouri.

View Reese, r BrokerCheck 6.12.23

If you lost money with Ray Reese or Money Concepts Capital, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.