Keith M. D’Agostino, a broker formerly registered with LPL Financial and Citigroup, has been suspended by FINRA for allegedly providing false information during the registration process. The suspension, effective June 2026, stems from D’Agostino’s failure to disclose material facts on his Form U4, the uniform application for securities industry registration.
What happened
D’Agostino’s CRD number is 2837860. He was associated with LPL Financial LLC and previously Citigroup Global Markets Inc. The FINRA action cites violations of FINRA Rule 8210, which requires brokers to provide truthful information during regulatory examinations. The suspension prevents D’Agostino from associating with any FINRA member firm until the matter is resolved.
This is not the first time a broker has faced sanctions for U4 disclosure failures. FINRA has intensified scrutiny of registration applications following a 2024 sweep that found over 300 brokers with incomplete or misleading disclosure histories.
Key facts
The Form U4 is the critical document that investors rely on when evaluating a broker’s background. It contains disclosure history including customer complaints, regulatory actions, criminal charges, and civil judgments. When brokers omit material facts, the investor protection framework breaks down.
| Broker | Keith M. D’Agostino |
| CRD Number | 2837860 |
| Firms | LPL Financial, Citigroup |
| Violation | FINRA Rule 8210 |
| Status | Suspended |
The broker and firm details
Keith M. D’Agostino has a disclosure history that includes this regulatory action. His former firms, LPL Financial and Citigroup, are major broker-dealers with extensive retail client networks. LPL Financial is the largest independent broker-dealer in the United States, serving over 22,000 financial advisors.
Citigroup Global Markets Inc. is a subsidiary of Citigroup Inc., one of the largest banking institutions in the world. Both firms have faced their own regulatory scrutiny in recent years, with LPL paying multiple fines for supervisory failures.
What investors should know
Form U4 disclosures are critical for investor protection. They reveal a broker’s disciplinary history, customer complaints, and regulatory actions. When brokers provide false information on Form U4, investors are denied the transparency needed to make informed decisions about their financial advisors.
Investors can verify a broker’s disclosure history through FINRA’s BrokerCheck tool. The database is free and searchable by broker name or CRD number. Any investor working with D’Agostino during his tenure should review their account statements for unusual trading patterns or unauthorized transactions.
What affected investors can do now
Investors who believe they suffered losses related to this matter may wish to consult a qualified securities attorney to review their options. FINRA arbitration remains the primary venue for resolving disputes between investors and brokerage firms.
This article is for informational purposes only and does not constitute legal advice.
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