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Augie Niles, Josh Shipley & Kyle Wool: Advisors Face $1.4mm Complaint

Former Revere Securities financial advisors Augie Niles (CRD# 3076666), Josh Shipley (CRD# 6631027), and Kyle Wool (CRD# 4238101) recently received an investor complaint alleging unauthorized trading. Financial Industry Regulatory Authority records show that all three brokers are currently registered with Dominari Securities in New York City.

The representatives’ BrokerCheck reports each disclose the same investor complaint. Filed in October 2023, it alleges that while affiliated with Revere Securities, they made unauthorized trades involving stock investments. The pending complaint alleges damages of $1,477,272.39. In statements included with the disclosure, Mr. Niles, Mr. Shipley, and Mr. Wool all denied the allegations and stated that they “will vigorously defend this matter.”

Mr. Wool’s BrokerCheck report discloses a previous investor complaint. Filed in 2009, it alleged that as a representative of Oppenheimer & Company, he recommended unsuitable investments, engaged in churning, and made misrepresentations of material facts. In 2011 the complaint reached a settlement of $337,500.

According to the Financial Industry Regulatory Authority, Augie Niles holds 24 years of securities industry experience. Based in New York, New York, he has been registered as a broker and an investment advisor with Dominari Securities since April 2023. His past registrations include Revere Securities (2021-2023), Morgan Stanley (2013-2021), Oppenheimer & Company (2009-2013), Raymond James Financial Services (2003-2009), and Sands Brothers & Company. His credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65.

Mr. Shipley holds six years of securities industry experience, according to FINRA. Also based in New York City, he has been a broker with Dominari Securities since April 2023. His registration history includes Revere Securities (2021-2023) and Morgan Stanley (2017-2021). His credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the SIE; and the Series 7.

Finally, Mr. Wool holds 23 years of securities industry experience. He is a Dominari Securities broker based in New York City. His registration history includes Revere Securities (2021-2023), Morgan Stanley (2013-2021), Oppenheimer & Company (2005-2013), Raymond James Financial Services (2003-2005), Sands Brothers (2002-2003), Global Capital Securities Corporation (2001-2002), and Global Capital Markets (2000-2001). His credentials include the completion of six securities industry qualifying exams: the Corporate Securities Limited Representative Examination, or Series 62; the Series 65; the Series 63; the SIE; the Series 7; and the Series 24. (Information current as of November 22, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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