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.
FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct and the disclosures about her.
On March 13, 2024, FINRA issued sanctions against Smith for document falsification. Specifically, Smith received a $5,000 fine and a 4-month suspension as part of the sanctions imposed.
Emily Smith's regulatory issues stem from her actions while employed at Raymond James Financial Services Inc., and a Form U5 indicating her discharge as securities broker due to conduct inconsistent with firm policies on document integrity.
According to FINRA's findings, which Smith accepted without admitting or denying fault, she engaged in a pattern of falsifying documents crucial for client transactions. The infractions involved the unauthorized alterations to signed documents and reuse of client signature pages. Supposedly, Smith reused signature pages on different documents for clients, including two transfer forms, client agreements, and a rollover election form.
Also, she altered 18 documents, such as account transfer forms, by adding unauthorized information like account dates, numbers, and policy names post-signature. Notably, Smith's actions led to the maintenance of inaccurate books by her employer, violating both FINRA Rules 4511 and 2010.
Have you sustained losses because of Emily Smith? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Smith and the brokerage firms she 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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