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.
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.
His report also lists an older pending claim and two settled disputes, and each names Western International Securities. BrokerCheck gives his full name as Ernesto A. Chavez Jr.
The larger settlement came on September 27, 2023, for $56,947. That customer filed on October 21, 2022 under docket number 22-02276, alleging $210,000 in damages. The claim alleged unsuitable recommendations and misrepresentations.
However, in his statement, Ernesto Chavez said the allegations against him are false. He also said he acted within SEC, FINRA and state rules.
Then a second dispute, filed September 5, 2023 under docket number 23-02384, settled for $14,500 on May 31, 2024. That claim alleged breach of fiduciary duty, negligent misrepresentation and breach of contract.
The customer filed the newest claim on July 17, 2026 under docket number 26-01586. According to BrokerCheck, the customer alleges the 2018 investment was unsuitable for the customer's investment objectives and risk tolerance. The claim remains pending.
Separately, BrokerCheck lists an earlier claim, received September 14, 2022, that alleges $100,000 in damages and also remains pending. In his statement on that disclosure, Chavez says the allegations are false and that he intends to vigorously defend himself.
In short, a suitability claim asks whether an investment fit the person who bought it. Before recommending a security, brokers must consider the customer's financial situation, objectives and risk tolerance.
Still, a recommendation can suit one investor and not another. Age, income, experience and how much risk the customer can afford all matter. The newest claim against Ernesto Chavez alleges the 2018 investment did not fit the customer, and he can answer that allegation.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Ernesto Chavez 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 October 6, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. 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.
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