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.

MELVILLE, NEW YORK

Have you lost money with financial advisor Surage Roshan Perera of Queens, New York? Surage Perera was previously affiliated with a brokerage firm called Aegis Capital Corp., from April 2018 to September 2022. He worked in a Melville, New York office but lived in Bellerose, Queens. Perera was indicted by the U.S. Attorney in the Eastern District of New York in March 2023.

Surage Roshan Perera was alleged to have solicited a client to invest in publicly traded stocks and induced the client to give him $4.2 million. Instead of investing the money was represented, Perera paid personal expenses, did day-trading in his own behalf, and paid purported redemptions to the client. Perera allegedly used a company called Janues Capital, Inc. to commit this fraud.

As a FINRA member, Aegis Capital Corp. has obligations to sufficiently supervise its representatives, including Surage Perera. A failure to do so could render Aegis Capital Corp. responsible for any investor losses.

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 Perera s Indictment

View Perera s BrokerCheck 3.28.23

If you lost money with Surage Roshan Perera, Janues Capital, or Aegis Capital Corp., please Contact Us at 206-795-5798 for a free evaluation of your case.

Joseph Todaro was with SW Financial (formerly Salomon Whitney) from August 2020 to December 2021. Todaro was also with Worden Capital from March 2018 to August 2020. He has worked at branch offices in Melville, New York.

Brokerage firms like SW Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view: Todaro, Joseph BrokerCheck 1.1.22

If you lost money with Joseph Todaro or SW Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts. The excessive trading allegedly happened from July 2014 to June 2015. Customers may be able to recover their losses.

In December 2021, FINRA found that O’Neill engaged in excessive trading. O’Neill was suspended from the securities industry for six months. FINRA also considered fining O’Neill, but O’Neill submitted an affidavit showing a lack of ability to pay a fine.

Daniel O’Neill was a financial advisor and registered representative of Aegis Capital from April 2013 to July 2021. He worked at a branch office in Melville, New York. O’Neill has been the subject of at least two customer complaints and several tax liens.

Brokerage firms like Aegis Capital have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Aegis Capital.

Click HERE to view O’Neill BrokerCheck Report

If you lost money with Daniel O’Neill or Aegis Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.