Financial Advisor Fraud

In a recent development, a serious allegation has been made against Keith Dagostino, a broker associated with Aegis Capital CORP. (CRD 15007). The case, filed under the reference number 23-02224, involves claims by customers alleging unsuitable investments. This news has sent shockwaves through the investment community, raising concerns about the potential impact on investors. The […]

Investment fraud allegations have rocked Merrill Lynch and financial advisor Frederick Moss. According to FINRA CRD, a pending customer dispute filed on August 15, 2023, claims that Moss made unsuitable investment recommendations and misrepresented information to clients between 2021 and 2022. This case has raised serious concerns for investors who have entrusted their financial well-being

The recent allegations against financial advisor Charles Fagan and his employer, Raymond James & ASSOCIATES, INC., have raised serious concerns among investors. According to the pending customer dispute filed on August 15, 2023, the claimants allege that Fagan concentrated their investments in unsuitable Ginnie Mae products with long maturity dates to generate higher commissions. The

In a recent development, a serious allegation has been brought forth against Herbert Buchbinder, a broker and investment advisor associated with Stifel, Nicolaus & Company, Incorporated (CRD 793). The pending customer dispute, filed on August 15, 2023, alleges breach of contract, negligence, and breach of fiduciary duty, with the claimants seeking damages amounting to $76,000.00.

Kevin Rice, a broker and investment advisor at Merrill Lynch, PIERCE, FENNER & SMITH INCORPORATED (CRD 7691), is facing a serious allegation of unauthorized trading in a customer’s account in August 2023. The settled customer dispute, which resulted in a payment of $5,624.86 to the client, raises concerns about the advisor’s conduct and its potential