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.

Investors who have suffered losses are encouraged to contact us at 1(516) 526 3082 or daniel.dcosta@danieldcostaesq.com for consultation. At D’Costa Law, P.C. our attorneys and staff are experienced in representing investors who have suffered securities losses due to the mishandling of their accounts. Claims may be brought in securities arbitration before FINRA. Our consultations are free of charge and the firm is only compensated if you recover.