Keith Michael Dagostino, Broker with Aegis Capital, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments

INVESTORS: Aegis Capital broker Keith Michael Dagostino was named in a customer dispute alleging unsuitability, misrepresentation and omission of material facts, and breach of fiduciary duty.

Keith Michael Dagostino (CRD: 2837860) has been registered as a broker with Aegis Capital since 2014. Previously, Dagostino was registered as a broker with Stifel, Nicolaus & Co. from 2010 until 2014.

Dagostino has three disclosures on his BrokerCheck report. 

February 2022 Customer Dispute

Status: Pending

Allegations: Time frame: August 2018 – present. Suitability, misrepresentation and omission of material facts, breach of fiduciary duty.

Damage Amount Requested: $400,000.00

Broker Comment: The allegations are wholly without merit. Every investment, including the risks associated therewith, were discussed with the client prior to making any investment. The client completed subscription documents verifying their suitability for the investments prior to making any investment, and the client’s accounts were profitable at the time of transfer out of Aegis. Mr. D’Agostino intends to defend the matter vigorously and expects that he will prevail after a hearing on the merits.


May 2017 Customer Dispute

Status: Settled

Allegations: Time Frame: 01/01/2016 to 12/31/2016: Client alleges poor performance.

Damage Amount Requested: $170,000.00

Settlement Amount: $92,000.00


August 2013 Customer Dispute

Status: Settled

Allegations: Claimant alleges breach of fiduciary duty, negligence, common law fraud, violation of Florida law, and unjust enrichment. Time frame: June 2010 to January 2013.

Damage Amount Requested: $725,000.00

Settlement Amount: $220,000.00


The Sonn Law Group is currently investigating allegations surrounding Keith Michael Dagostino. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.