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 may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading to learn more about disclosures reported on her FINRA BrokerCheck record.
Specifically, a client of WS Brokerage Services Inc. contested Jeffries' sales practices, according to a complaint dated April 2, 2026. Allegedly, unauthorized signatures were placed on documents relating to the client's account. The client also complained about account access, account servicing issues, and a lack of transparency regarding the management of funds. It appears that Jeffries allegedly caused the client to experience damages associated with mutual funds. Consequently, the client sought compensation from WS Brokerage Services Inc. or Jeffries in this matter. The complaint was denied on April 17, 2026.
Also, WS Brokerage Services Inc. disaffiliated with Jeffries on March 10, 2026. Allegedly, Jeffries reused client signatures on paperwork, altered or added dates to certain forms, and submitted documents before clients had an opportunity to review them. Jeffries voluntarily resigned while these allegations were under review.
Did you experience losses because of Dianna Jeffries? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Jeffries and brokerage firms Jeffries 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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