Keith Michael D’Agostino, of Woodbury, New York, a stockbroker registered with EF Hutton LLC, otherwise known as Benchmark Investments, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that D’Agostino breached his fiduciary duties, made unsuitable investment recommendations in stocks, and committed fraud during the period that D’Agostino was associated with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 24-00204 (January 26, 2024).
FINRA Public Disclosure shows that D’Agostino is referenced in nine other customer initiated investment related disputes concerning D’Agostino’s conduct while associated with securities broker dealers. On May 2, 2023, a customer filed an investment related FINRA securities arbitration claim involving D’Agostino’s conduct in which the customer requested compensatory damages based upon allegations that D’Agostino made unsuitable recommendations in stocks during the time that D’Agostino was associated with Aegis Capital Corp. FINRA Arbitration No. 23-01200.
On August 7, 2023, a different customer filed an investment related FINRA securities arbitration claim involving D’Agostino’s conduct in which the customer requested compensatory damages based upon allegations that D’Agostino made unsuitable recommendations in real estate securities when D’Agostino was associated with Aegis Capital Corp. FINRA Arbitration No. 23-02166.
D’Agostino is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon allegations that D’Agostino provided unsuitable investment advice to the customer. FINRA Arbitration No. 23-02224 (August 15, 2023).
On March 10, 2023, an additional customer initiated investment related FINRA securities arbitration claim involving D’Agostino’s conduct was settled for $35,000.00 in damages based upon allegations that D’Agostino made misrepresentation and omission of material facts, made unsuitable recommendations, and breached his fiduciary duties to the customer. FINRA Arbitration No. 22-00214.
D’Agostino was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $90,000.00 in damages based upon alleged unsuitable advice and poor performance in stocks during the time that D’Agostino was associated with Aegis Capital Corp. FINRA Arbitration No. 22-00214 (April 3, 2023).
On February 5, 2024, a customer initiated investment related FINRA securities arbitration claim involving D’Agostino’s conduct was settled for $325,000.00 in damages based upon allegations that D’Agostino recommended unsuitable investments at Aegis Capital Corp. FINRA Arbitration No. 23-01643.
D’Agostino was also referenced in a customer initiated investment related complaint that was settled on December 14, 2023, for $60,000.00 in damages based upon alleged poorly performing stocks because of D’Agostino.
D’Agostino was associated with Aegis Capital Corp. in Melville, New York from October 3, 2014, to November 29, 2023. He has been associated with EF Hutton LLC in Woodbury, New York since October 30, 2023.
