Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
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.
Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
William Tunink (CRD: 2738224) settled a customer claim for $299,000 on August 11, 2026, according to his BrokerCheck report. The customer alleged that he obtained loans from the customer, and that some of the money went into an investment.
Tony Barouti (CRD: 3031995) faces a pending $230,400 customer claim, according to his BrokerCheck report. He says the allegations in it are false. His report also lists SEC administrative and cease-and-desist proceedings from August 2025.
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