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.
Brian Nelson (CRD #5065593) settled a customer dispute naming Emerson Equity for $466,040, according to his BrokerCheck report. The claim, filed August 25, 2025 under docket number 25-01601, alleged violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, violation of California's Financial Elder Abuse Law, breach of contract, common law fraud, breach of fiduciary duty, and negligence. It settled on September 2, 2026.
Nelson also settled several other Emerson Equity disputes in 2026, according to BrokerCheck.
Brian Nelson also settled an Emerson Equity dispute for $136,944, according to BrokerCheck. That claim, filed June 9, 2025 under docket number 25-01170, alleged violation of federal securities laws, violations of the California Securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. It settled on September 23, 2026.
Nelson settled another Emerson Equity dispute for $318,487, according to BrokerCheck. That claim, filed November 14, 2025 under docket number 25-02515, alleged breach of fiduciary duty, suitability, fraudulent misrepresentations and omissions, violation of FINRA rules 2010, IM-2310-2, and 2020, and breach of contract. It also settled on September 2, 2026.
A separate Emerson Equity dispute settled the same day for $332,323, according to BrokerCheck. That claim, filed May 21, 2025 under docket number 25-00971, alleged violation of federal securities laws, violations of the California securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.
Brian Nelson settled an Emerson Equity dispute for $96,597, according to BrokerCheck. The claim, filed August 4, 2025 under docket number 25-01572, alleged violations of federal securities laws, violations of the California securities laws, California unfair, unlawful, and fraudulent business practices, violation of California's Elder Abuse Law, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. BrokerCheck states the trades at issue were placed between 2016 and 2019, and the matter settled on September 2, 2026.
A further Emerson Equity dispute, resolved for $38,839, arose from a claim filed January 13, 2026 under docket number 26-00050, according to BrokerCheck. That claim alleged breach of fiduciary duty, suitability, fraudulent misrepresentations and omissions, violations of FINRA rules 2010, IM-2310-2, and 2020, and breach of contract. It settled on September 2, 2026.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Brian Nelson handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of September 30, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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]