The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of  Structured Notes.  The Financial Advisor responsible for the recommendations is Keith Dagostino (CRD #2837860).   Broker’s Background     Keith Dagostino was registered with Aegis Capital Corp. as a Financial Advisor from 2014-2023.  He […]

Gary Steven Costello (CRD#:6117388) is a registered broker and investment advisor for Aegis Capital Corp. in Boca Raton, FL   Broker’s Background He entered the securities industry in 2016 and previously worked for Truist Advisory Services, Inc; Oppenheimer & Co. Inc.; Morgan Stanley; and Park Avenue Securities, LLC.   Current and Past Allegations of Conduct […]

Surage Roshan Perera (CRD#: 4716321) is a previously registered Broker. Broker’s Background He entered the securities industry in 2003 and previously worked for Aegis Capital Corp.; Maxim Group, LLC; Stockkings Capital, LLC; Caldwell International Securities; Global Arena Capital Corp.; Prestige Financial Center, Inc.; Sloan Securities Corp.; Aura Financial Services, Inc.; Andrew Garrett, Inc.; LH Ross […]

Teresa Douberly (CRD#: 2477566) was previously registered as a Broker and Investment Advisor. Broker’s Background She entered the securities industry in 1994 and previously worked for Sagepoint Financial, Inc.; Aegis Capital Corp.; MetLife Securities, Inc.; VFinance Investments, Inc.; Commonwealth Financial Network; Hunter Scott Financial, LLC; Royal Alliance Associates, Inc.; Morgan Stanley DW, Inc.; JWGenesis Securities, […]

M.B. Schreiber (CRD#: 103260) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for National Securities Corporation; Newbridge Securities Corporation; Summit Brokerage Services, Inc.; First Montauk Securities Corp.; The Concord Equity Group, LLC; and Mid-State Securities Corp. Current And Past […]

Arkady Ginsburg (CRD#: 5256747) is a registered Broker at Aegis Capital Corp. in New York, NY. Broker’s Background He entered the securities industry in 2006 and previously worked for Rockwell Securities, LLC; and S. W. Bach & Co. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Joseph LaScala, Jr. (CRD#: 3070261) is a dually registered Broker and Investment Advisor at Aegis Capital Corp. in Melville, NY. Broker’s Background He entered the securities industry in 1998 and previously worked for Paulson Investment Company, Inc.; Gunnallen Financial, Inc.; Investec Ernst & Company; and Royce Investment Group, Inc. Current And Past Allegations Of Conduct […]

Johnny Guan (CRD#: 5711977) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 2009 and previously worked for National Securities Corporation and Newbridge Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Joseph Giordano (CRD#: 2278341) is a registered Broker at Acceptus Capital Corp. in Port Washington, NY. Broker’s Background He entered the securities industry in 1993 and previously worked for Gunnallen Financial, Inc.; LH Ross & Company, Inc.; Citigroup Global Markets, Inc.; Lumiere Securities, Inc.; Taj Global Equities, Inc.; Sovereign Equity Management Corp.; A.T. Brod & […]

Daniel O’Neill (CRD#: 1358245) is a previously registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 1985 and previously worked for Ladenburg Thalmann & Co.; Maxim Group, LLC; Wachovia Securities, LLC; Oppenheimer & Co., Inc.; First Montauk Securities Corp.; Janney Montgomery Scott, LLC; First Albany Corporation; Prime Charter LTD; […]