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.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
The disclosure names LPL Financial as the firm, while BrokerCheck lists his full name as Gabriel P. Swan.
The customer filed on February 25, 2026 under docket number 26-00432. According to the disclosure, the customer alleges the representative failed to stop him from withdrawing funds from his own accounts. The customer then invested that money, the claim says.
In his statement, Swan denies any wrongdoing and says the allegations are without merit. His statement says the withdrawals to the customer's bank account came up in discussions with the customer, who insisted on them. Swan adds that he put the customer's interest first at all times.
Customers generally control their own money, and a broker usually cannot refuse an instruction to move it. Still, firms like the one Gabriel Swan worked for keep procedures for unusual requests. A broker who sees one may call the customer, note the conversation and alert a supervisor.
FINRA Rule 2165 also lets a firm place a temporary hold on a withdrawal when it reasonably believes someone is financially exploiting an older or vulnerable customer. FINRA Rule 4512 also asks firms to make reasonable efforts to obtain a trusted contact person for each customer. The firm can then reach that person when it has concerns.
Because those tools are optional, a claim like this one asks what a broker should have done in a specific situation. Gabriel Swan denies any wrongdoing and says the customer insisted on the withdrawals.
So far, the claim remains pending, and no arbitrator has ruled on it. If the case goes to a hearing, both sides can present call notes, account records and other evidence.
Either side can also settle before then. Until one of those things happens, BrokerCheck shows only the allegation against Gabriel Swan and his denial.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Gabriel Swan 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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