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 […]

Ran Regev (CRD#: 5469190) is a FINRA registered Financial Advisor. Broker’s Background Ran Regev entered the securities industry in 2008. He previously worked with Metlife Securities, Inc. and Sagepoint Financial, Inc., which is now owned by Osaic Wealth, Inc.  Ran Regev is located in Fort Lauderdale, FL. Allegations of Conduct Leading to Investment Loss The […]

Sanford M. Katz (CRD#: 1558898) is a registered broker and investment advisor at Wells Fargo Clearing Services, LLC. Broker’s Background He entered the securities industry in 1986 and previously worked with Goldman, Sachs & Co.; UBS Financial Services, Inc.; and Credit Suisse Securities (USA) LLC. Allegations of Misconduct According to publicly available records released by […]

Juan Manuel Rascon (CRD#:5631144) is a registered broker and investment adviser at Cetera Investment Services, LLC., in Houston, TX. Broker’s Background He entered the securities industry in 2009 and previously worked with Edward Jones; Chase Investment Services Corp.; J.P Morgan Securities LLC; BBVA Compass Investment Solutions, Inc.; and BBVA Securities, Inc. Current and Past Allegations […]

Bernard F. Jasmin (CRD#: 4442394) is a previously registered broker.   Broker’s Background He entered the securities industry in 2002 and previously worked with J.P Turney & Company, LLC; National Securities Corporation; Aura Financial Services, Inc.; Empire Asset Management Company; and PHX Financial, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss […]

James Ward Margraf (CRD#: 6517554) is a registered investment Advisor at Latour Asset Management LLC in Springfield, MO. He is also a previously registered broker. Broker’s Background He entered the securities industry in 2015 and previously worked for Gradient Advisors, LLC, and Center Street Securities, Inc. Current Allegations of Conduct Leading to Investment Loss According […]

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 […]

Kurt Cambier (CRD#: 1392482) is a registered broker and investment advisor at Cambridge Investment Research, Inc. in Littleton, CO. Broker’s Background He entered the securities industry in 1986 and previously worked for Multi-Financial Securities Corporation; MML Investors Services, Inc.; G.R. Phelps & Co., Inc.; Amev Investors, Inc.; Pruco Securities Corporation. Current and Past Allegations of […]

Stewart Ginn (CRD#: 4503197) is a registered broker at Independent Financial Group, LLC in Encinitas, CA.   Broker’s Background He entered the securities industry in 2002. He previously worked for Navian Capital Securities LLC; Newbridge Securities Corporation; Chicago Investment Group, LLC (FINRA expelled the firm in 2010); Ladenburg Thalmann & Co., Inc; and Ladenburg Capital […]

Christopher B. Kennedy (CRD#: 4498061) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc; Spartan Capital Securities, LLC; Financial West Group (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]