Yield Enhancement Strategy Archives - Wolper Law Firm, P.A.

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Wolper Law Firm Files FINRA Arbitration Claim Against Aegis Based On the Excessive Trading of Structured Notes

April 7, 2024

The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of Structured Notes. The Financial Advisor responsible for the recommendations is Keith Dagostino (CRD #2837860). Broker’s Background Keith Dagostino was registered with Aegis Capital Corp. as a Financial Advisor from 2014-2023. He […]

Financial Advisor Valence Williams Suspended by FINRA for Unauthorized Trading

March 22, 2024

Valence Montgomery Williams (CRD#:1389729) was a previously registered broker. Broker’s Background He entered the securities industry in 1985 and previously worked with Shearson Lehman Brothers Inc.; Prudential-Bache Securities Inc.; Emanuel and Company (FINRA Expelled the firm on 10/13/1994); Dean Witter Reynolds Inc.; Stuart, Colemand & Co.,Inc.; Investec Ernst & Company; Maxim Group LLC; Gunnallen […]

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Tag: Yield Enhancement Strategy

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