Investors might have sustained losses due to securities broker Joshua Shipley [CRD: 6631027, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Shipley joined Dominari Securities LLC on April 13, 2023. Before that, he worked at Revere Securities LLC from January 20, 2021 to April 12, 2023. Read on to learn more about the allegations involving this broker.
Particularly, on March 19, 2025, a Dominari Securities LLC client filed FINRA Arbitration No. 25-00572 about Joshua Shipley. The client alleged that Shipley misallocated shares of an initial public offering (IPO). For this reason, the client allegedly sustained damages linked to stocks. Therefore, the client requested up to $5,000,000.00 in compensation from Dominari Securities or Shipley. Evidently, this arbitration is pending a resolution.
Allegations of misallocation of shares typically refer to claims that a securities broker unfairly or improperly distributed IPO or other securities, potentially favoring certain clients over others. This can lead to significant losses if investors were wrongfully denied access to profitable investment opportunities. Unauthorized trading occurs when a securities broker executes transactions in a client’s account without the client’s prior consent, violating trust and possibly causing financial harm.
Did you experience losses because of Joshua Shipley? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney. Soreide Law Group helps recover losses for investors throughout the US. Also, the firm takes investor cases on a contingency fee basis and advances all costs. Shipley and brokerage firms Shipley worked for deny accusations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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