Dan Schapiro: $50K Complaint Against Dominari, Ex-Aegis Advisor

New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, doing business as Gotham Equities. He was previously registered with Aegis Capital.

Mr. Schapiro’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in May 2025, alleges that as a representative of Aegis Capital, he recommended an unsuitable private placement, committed fraud, breached contract, and breached his fiduciary duty. The pending complaint alleges damages of $50,000.

An earlier investor complaint, filed in 2000, alleged that as a representative of JP Turner & Company, he made unauthorized transactions, churned investments, and fraudulently misrepresented material facts. In 2002 the complaint reached a settlement of $34,391.42.

A third investor complaint, filed in 1999, alleged that as a JP Turner & Company representative, he recommended unsuitable stock investments. In 2000 the complaint reached a settlement of $40,000.

A press release issued by Dominari Securities in March 2024 announces Mr. Schapiro’s hiring by the firm as a member of a team called Gotham Equities. “The team, based in Miami, has more than 50 years combined experience in the financial services industry providing exceptional guidance and strategies in the management of private equity portfolios,” it explains. “The team at Gotham focuses its business on private equity, structuring and helping their clients gain access to a variety of opportunities including Pre-IPO, Unicorns, special purpose vehicles (SPVs) and structured products along with traditional wealth management solutions.”

According to the Financial Industry Regulatory Authority, Dan Schapiro holds 31 years of securities industry experience. Based in New York City, he has been registered as a broker with Dominari Securities since March 2024. His past registrations include Aegis Capital, National Securities, JP Turner & Company, Northeast Securities, Broadband Capital Management, Dalton Kent Securities, Argent Securities, Monroe Parker Securities, and Biltmore Securities. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the General Securities Principal Examination, or Series 24; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Florida, Illinois, New Jersey, and New York. (Information current as of June 2, 2025.)

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