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.
The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, January, 2014."
Thomas Paul O’Connor (CRD #5699014, Registered Representative, Boston, Massachusetts)
was fined $10,000 and suspended by FINRA for 12 months. Allegedly O’Connor forged his client's signature on documents relating to buying insurance policies, a fixed life policy and a disability insurance policy. O'Connor did not have his client's consent or knowledge.
FINRA's findings said the client had not agreed to the purchase of the policies and that O’Connor had submitted these policies for processing.
O'Connor's suspension is in effect from December 2, 2013, through December 1, 2014. (FINRA Case #2012034010701)
According to BrokerCheck, Thomas Paul O’Connor was previously registered with the following FINRA firm:
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD# 2881) - BOSTON, MA
06/2010 - 08/2012
This ends the information from FINRA's website.
If you or a family member have become victims of an insurance fraud, contact an attorney at Soreide Law Group for a free consultation 888-760-6552.
Soreide Law Group, PLLC, representing Insurance Fraud Victims in Federal Court, State Court, and before the Financial Industry Regulatory Authority (“FINRA”).
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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]