Financial Advisor Complaints

There’s a saying in finance: “Caveat Emptor“, or “Buyer Beware”. This couldn’t ring truer for investors entangled in a recent case involving an alleged fraudulent investment scheme. The man in question is Keith Dagostino, a former financial advisor registered with Aegis Capital Corp. Dagostino has been accused of recommending the sale of Structured Notes associated […]

Emily Carter is a seasoned voice in the finance and legal sectors. With a wealth of experience under her belt, she has navigated the waters of detailed financial analyses, regulatory compliance, and personal investment strategies. She aims to demystify the complex world of finance and legal regulations for her readers. The Allegations Against Keith Michael

Janet Doherty, a seasoned financial advisor with previous tenure at no less than seven noteworthy brokerage firms, has recently come under scrutiny. An investor reported a concerning claim involving unauthorized fund transfers, as detailed in Doherty’s BrokerCheck record, which can be accessed using her FINRA CRD number. This alarming development has sparked doubt over Doherty’s

Erik Pinter, an established stockbroker employed by LPL Financial in Appleton, WI, is currently under investigation with regards to a customer dispute. This is not a light matter, as the customer has alleged Pinter made wholly unsuitable investment recommendations that disregarded the customer’s expressed investment objectives and risk tolerance. As an investor, you entrust a

As a seasoned financial analyst and legal expert, I’m keen to shed some light on an investor dispute involving Cataldo Panici (CRD #: 2112617), a broker affiliated with WinTrust Investments. According to his BrokerCheck record, we see a recent dispute raising questions about the broker’s conduct, his treatment of customers, and the alleged significant losses

Drawing from my years of experience in financial analytics and legal practice, I am obliged to discuss a recent case that involves industry transgressions that investors should take note of. I am referring to John Sebastian Cangialosi Jr., a financial advisor [(CRD: 3273830, New York, New York)](https://brokercheck.finra.org/). He initially worked with SW Financial before moving