(CRD #2837860, Oyster Bay Cove, New York)

December 17, 2025 – An AWC was issued in which Keith Michael Dagostino was assessed a deferred fine of $25,000 and suspended from association with any FINRA member in all capacities for 24 months. Without admitting or denying the findings, Dagostino consented to the sanctions and to the entry of findings that he willfully violated the Care Obligation under Reg BI when he recommended that retired and senior investors purchase speculative and low-priced securities that were not in their best interests. The findings stated that Dagostino recommended that the customers purchase speculative low-priced securities from microcap issuers. Each customer had a low risk tolerance and investment objectives of preserving capital and generating income for retirement. Dagostino’s recommendations to these customers caused over $1.8 million in losses. Dagostino’s member firm repaid the customers for the loses they realized as a result of his recommendations. The suspension is in effect from January 5, 2026, through January 4, 2028 (FINRA Case #2022075471001) If you have suffered losses as a result of Keith Michael Dagostino's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Keith Michael Dagostino. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.