Securities Arbitration Lawyers Blog

You can put these into action immediately Nobody thinks they will be the victim of fraud, but it happens every day – even to the smartest people. This is why it is always important to be vigilant when it comes to anything involving money. Scammers will never stop scamming, but…

Kimberly Pine Kitts (CRD #2768200) is a previously registered broker and investment advisor, last employed with Royal Alliance Associates Inc., (CRD #23131) from 2004 through 2017. In the industry since 1993, she was previously employed with ING Financial Partners, Inc. (CRD #2882) in Des Moines, IA, and Forum Fund Services,…

A current client dispute relating to Jeffrey Hawley (CRD #1131302) has been filed against Wells Fargo.  Hawley is a registered broker currently with Wells Fargo Clearing Services, LLC (CRD #19616). Hawley is also a registered investment advisor with the same company. The customer dispute centers on Puerto Rican bonds, which…

Adam Goodman (CRD #2263780) is a currently registered broker and investment advisor employed by Stoever, Glass & Company Inc. (CRD #7031) of Boca Raton, FL. His previous employers include Herbert J. Sims & Co. Inc. (CRD #3420) and Wien Securities Corp. (CRD #10467.) He has been in the industry since…

Lee Robert Donais (CRD #2347440) was a registered broker with SCF Securities, Inc. (CRD #47275) of Lighthouse Point, FL, since 2012 through May 2018. His previous employers include Brookstone Securities, Inc. (CRD #13366), brokersXpress LLC (CRD #127081, now defunct), and LPL Financial Corporation (CRD #6413), also of Lighthouse Point, Florida.…

Broker Keith Michael D’Agostino (CRD #2837860, also spelled “Dagostino”) is currently registered with Aegis Capital Corporation (CRD #15007) in Melville, NY since 2014.  He has been in financial services since 2002. D’Agostino’s most recent complaint was filed on May 11, 2017, with the client alleging “poor performance.” The client requested…

James J. Mariani (CRD #2932631) is a currently registered broker with Aegis Capital Corp. (CRD #15007) of Bayside, New York. He has been with Aegis for less than one year. His previous employers include: National Securities Corporation (CRD #7569) of Mineola, NY First Montauk Securities Corp. (CRD #13755) of Port…

David Schmerber (CRD #2093918) is a currently registered broker and investment advisor with Cetera Advisors of Centerville, OH. He has been in the industry since 1990. His previous employers include: LPL Financial LLC (CRD #6413) Smith Barney Inc. (CRD #7059) Lehman Brothers Inc. (CRD #7506) Schmerber’s brokerage firm, LPL Financial,…

Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3/26/2018. This is the result of failing to comply with an arbitration award, and providing proof of the compliance. The bar is indefinite, and in all capacities until the award…

Matthew Evan Eckstein (CRD #2997245) was a registered broker with Sisk Investment Services, Inc. (CRD #19406) of Syossett, NY. He has been with Sisk since 2015. Eckstein was previously employed by Gould, Ambroson & Associates Ltd. (CRD #17412) of Garden City, NY.  Our New York securities arbitration lawyers are representing…