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Recent FINRA Broker Complaints 03/2025

Zimmerman D’costa LLC
Recent FINRA Broker Complaints 03/2025

Alexandre Maltez (Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm) – Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has a recent customer complaint alleging that Maltez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. The Damage request is $50,000.

Alexander Creede (Independent Financial Group, LLC Firm) – Alexander Creede (Creede), currently associated with Independent Financial Group, LLC, has a recent customer complaint alleging that Creede recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. The Damage request is $100,000.

Chris Toomey (J.P. Morgan Securities LLC Firm) –  Chris Toomey (Toomey), currently associated with J.P. Morgan Securities LLC, has a recent customer complaint alleging that Toomey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. The Damage request is $51,821.

Robert Rotunno (Spartan Capital Securities, LLC) Robert Rotunno (Rotunno), currently associated with Spartan Capital Securities, LLC, has 2 customer complaints alleging that Rotunno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. There is currently a pending customer complaint with a damage request of $251,250.

Anthony Walia (Fidelity Brokerage Services LLC Firm) – Anthony Walia (Walia), currently associated with Fidelity Brokerage Services LLC, has one customer complaint alleging that Walia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

Keith Dagostino (Ef Hutton LLC Firm) – Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at one customer complaint alleging that Dagostino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

Angelo Anello in Firm (LPL Financial LLC) –  Angelo Anello (Anello), currently associated with LPL Financial LLC, has 2 customer complaints alleging that Anello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints. Anello has recently settled a customer complaint with a damage request of $84,538.

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I assisted my parents in hiring Daniel for a securities case in which my father was taken advantage of. Given the nature of the case, we were very cautious before hiring an attorney. We found Daniel to be extremely honest and upfront from the first phone call until the last. He was very patient and...

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Daniel D’Costa carefully reviewed all documents and offered helpful and tactful advice. Daniel was incredibly responsive and very thorough. I feel confident signing anything that D’Costa Law P.C. has reviewed on my behalf.

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I had the opportunity to work with Daniel D’Costa, of D’Costa Law, P.C. I very much appreciated and respected Mr. D’Costa’s professional approach while working to recover an investment that had totally lost its value. Mr. D’Costa kept me apprised throughout the process and worked to recover a...

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