Haselkorn & Thibaut, a national investor advocacy law firm with a 98% success rate, has launched an investigation into Keith D’Agostino, CRD# 2837860, a former financial advisor most recently registered with EF Hutton and Aegis Capital in Woodbury, New York. If you or someone you know has experienced investment losses with Keith D’Agostino, you may have valuable legal options. Our priority is to provide clarity and guidance to affected investors, and we offer a free, confidential consultation with no obligation and no fee unless you recover losses.
Background on Keith D’Agostino – New York Financial Advisor
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Keith D’Agostino brings over 27 years of experience in the securities industry. He was most recently registered with EF Hutton & Company (2023–2024) and previously with Aegis Capital, Stifel Nicolaus, Oppenheimer & Company, and Wachovia Securities. His career primarily took place in Woodbury and Melville, New York, serving a range of retail and retiree clients.
Unfortunately, recent regulatory actions and customer complaints have raised pressing concerns about Mr. D’Agostino’s compliance with industry standards, particularly regarding investment recommendations to senior and retiree investors.
Recent FINRA Action: Suspension and Fine
According to public records, including a Letter of Acceptance, Waiver, and Consent (No. 2022075471001) filed in December 2025, FINRA sanctioned and suspended Keith D’Agostino for 24 months. The basis for this action centered around:
- Recommending speculative, low-priced microcap securities to at least ten retired or senior investors.
- The recommendations exposed these customers to substantial losses and were inconsistent with their investment profiles.
- This conduct constituted willful violations of FINRA Rule 2010 and the SEC’s Regulation Best Interest.
- As a result, these customers incurred more than $1.8 million in losses attributed to unsuitable and high-risk investment choices.
- Mr. D’Agostino was also ordered to pay a $25,000 fine in addition to his suspension.
Customer Complaints and Allegations
A significant number of customer disputes have been filed against Keith D’Agostino throughout his career, with the most recent ones tied directly to his time at Aegis Capital.
Here’s a summary of specific, publicly disclosed complaints:
| Date Filed | Allegations | Status | Damages Reported/Outcome |
|---|---|---|---|
| Oct 2025 | Breach of fiduciary duty, negligence, breach of contract (Aegis Capital) | Pending | $1,000,000 claimed |
| 2024 | Over-concentration, unsuitable recommendations (Aegis Capital) | Settled | $409,000 settlement |
| Multiple years | Two dozen investor complaints over his tenure, largely focused on unsuitable investment recommendations, portfolio concentration, and failure to consider client risk tolerance. | Various (pending/settled) | Varied – several large-dollar settlements |
Important: The pattern and severity of these complaints, especially concentrated among retirees and senior investors, elevate this situation to a potential red flag for current or past clients of Keith D’Agostino.
Red Flags Investors Should Know
If you worked with Mr. D’Agostino at EF Hutton or Aegis Capital, ask yourself the following:
- Were you encouraged to purchase low-priced, speculative securities, particularly microcap stocks?
- Did these investments represent a significant portion of your portfolio?
- Were the risks of these products clearly explained, including the potential for substantial loss?
- Did you experience unrealized or realized losses significantly affecting your retirement or investment goals?
- Were your personal investment objectives (risk tolerance, time horizon, income needs) ignored or disregarded?
If any of the above scenarios are familiar, it’s possible your interests were not prioritized as required by both FINRA rules and the SEC’s Regulation Best Interest.
How to Verify Disclosures and Complaints
Concerned about your investments? You can review regulatory disclosures about your advisor at FINRA BrokerCheck, using Keith D’Agostino’s CRD# 2837860 for reference. Note, however, that while BrokerCheck and other public registries are critical tools, some information may not be immediately reflected. Claims may remain pending, and new regulatory actions can arise at any time.
Haselkorn & Thibaut Can Help: Free, Confidential Consultations
Receiving unsuitable investment recommendations or incurring unnecessary losses is never acceptable—especially for senior and retired investors. If your experience with Keith D’Agostino, EF Hutton, or Aegis Capital includes unexpected investment losses, Haselkorn & Thibaut’s team of investment fraud lawyers will aggressively investigate your claim, with a proven track record of recovering funds for clients.
- 98% success rate
- National footprint – serving investors in all 50 states
- Over 50 years of collective experience
- No recovery, no fee
Protect your financial future. Call Haselkorn & Thibaut at 1-888-885-7162 now for a free, private consultation. Don’t wait—recovery options may be time sensitive.
If you believe you were impacted by the actions described above, Haselkorn & Thibaut can help you explore your rights and potential recovery. Your peace of mind is our top priority.
