A National Securities Arbitration & Investment Fraud Law Firm
Keith Dagostino (CRD# 2837860) is a broker currently registered with EF Hutton of Woodbury, NY. His previous employers include Aegis Capital Corp. (CRD# 15007) And Oppenheimer & Co. Inc. (CRD# 249), both of Melville, NY, and Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Oyster Bay, NY. He has been in the industry since 1997. Continue reading ›
According to FINRA Disciplinary actions for September 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Akshita Bhatia | |
| Juan Gauna | NYLife Securities LLC |
| Peter Girgis | SW Financial |
| Worden Capital Management LLC | |
| Timothy Jefferson | Aegis Capital Corp. |
| Ameriprise Financial Services, LLC | |
| Barak Rebibo | J.P. Morgan Securities LLC |
| Courtney Smith | Spire Securities, LLC |
| Hightower Securities, LLC |
According to FINRA Disciplinary actions for September, 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| John Boatright | Newbridge Securities Corporation |
| Summitt Brokerage Services, Inc. | |
| Robert Boyer | Wells Fargo Clearing Services, LLC |
| Credit Suisse Securities (USA) LLC | |
| Paul Feller | |
| Wentworth Gardner | CUNA Brokerage Services, Inc. |
| AXA Advisors, LLC | |
| Sevag Haddadian | Wells Fargo Clearing Services, LLC |
| Morgan Stanley | |
| Carol Miller | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors LLC | |
| Jason Pirnie | Pallas Capital Advisors, LLC |
| UBS Financial Services, Inc. | |
| Gretchen Wallace | Oppenheimer & Co., Inc. |
| Morgan Stanley | |
| David Wolfe | Hamilton Grant, LLC |
| Aaron Capital Incorporated |
According to FINRA Disciplinary actions for September 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Matthew Davis | Charles Schwab & Co., Inc. |
| Fidelity Brokerage Services LLC | |
| Madison Kelly | PFS Investments Inc. |
| Sean Mostero | LPL Financial LLC |
| Cetera Advisors LLC | |
| Shoaib Qureshi | J.P. Morgan Securities LLC |
| First Republic Securities Company, LLC | |
| Annie Simons |
According to FINRA Disciplinary actions for August 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Ned Seitler | Charles Schwab & Co., Inc. |
| Neuberger Berman Management, Inc. | |
| Kirkland Wilson | Cetera Advisor Networks LLC |
| Securian Financial Services, Inc. |
According to FINRA Disciplinary actions for August 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Fanar Almosleh | U.S. Bancorp Investments, Inc. |
| Zev Bishop | Raymond James Financial Services, Inc. |
| Nicholas Camp | Bank of America, N.A. |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Jessica Cottee | Valic Financial Advisors, Inc. |
| Park Avenue Securities LLC | |
| Samuel Girgiss | Spartan Capital Securities, LLC |
| Worden Capital Management LLC | |
| Vanessa Hendrickson | NYLife Securities LLC |
| Mariah Nagy | J.P. Morgan Securities LLC |
| Zayed Regalado | NYLife Securities LLC |
| Jeffery Sanders | Woodmen Financial Services, Inc. |
| Daniel Turner | Vanguard Marketing Corporation |
According to FINRA Disciplinary actions for August, 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| George Apolonides | Spartan Capital Securities, LLC |
| Southeast Investments, N.C., Inc. | |
| Gerald Cocuzzo | Newbridge Securities Corporation |
| IAA Financial LLC | |
| Howard Graham | Stonex Securities Inc. |
| Wells Fargo Clearing Services, LLC | |
| James Stuart | Richfield Orion International Inc. |
| Intervest International Equities Corporation | |
| Kostas Tsamos | Spartan Capital Securities, LLC |
| Southeast Investments, N.C., Inc. |
Silver Law Group founder Scott Silver weighed in on the recent suspension of broke Luis E. Nin (CRD# 4372587) after he was discovered trading in a deceased client’s account.
In the article for Advisor Hub, Mr. Silver said, “This broker’s conduct violates the most fundamental foundational requirement that a broker owes a client—don’t buy a stock that the client has not authorized.” Continue reading ›
The Securities and Exchange Commission (SEC) has charged Russell Todd Burkhalter, founder and CEO of Drive Planning, LLC, his Atlanta-based company. In their complaint, the SEC requested and received a preliminary injunction, asset freeze, and other emergency relief against both Burkhalter and Drive Planning to stop a Ponzi scheme worth $300 million that affected over 2,000 investors. A receiver has been appointed for Drive Planning. Continue reading ›
Silver Law Group confirms judgment of a $383,158.04 FINRA arbitration award on behalf of a victim of barred financial adviser Seymour Cohen, who failed to repay money he borrowed from our client.
The proceeding arose out of a Financial Industry Regulatory Authority (FINRA) arbitration commenced on November 19, 2021. Our client, Anita Frankel (Petitioner), alleged that her financial adviser, Seymour Cohen (Respondent), convinced her to loan him $200,000 from the funds he managed on the promise that it would be repaid with interest upon the sale of a property he owned. Continue reading ›
Securities Arbitration Lawyers Blog