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.
On November 2, 2021, JAMES ALAN SEIJAS (JAMES A SEIJAS) CRD#: 2392901, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Seijas was registered from November of 2013 until March of 2019 with WELLS FARGO CLEARING SERVICES, LLC of Short Hills, New Jersey.
According to the FINRA report, without admitting or denying FINRA’s findings, JAMES A SEIJAS consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation concerning the Form U5 amendment filed by his former member firm.
FINRA’s findings stated that the firm filed the amendment to Seijas’ Form U5 disclosing for the first time that he had been named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a Ponzi scheme.
In an article from Financial Advisor IQ, it states that JAMES A SEIJAS voluntarily resigned from Wells Fargo in March of 2019 and has not registered with another firm.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JAMES ALAN SEIJAS has been in the securities industry for 21 years and was listed with 7 firms. Seijas has 3 disclosures on his FINRA CRD report, 2 are “Customer Disputes” both pending.
In May of 2020, there was a dispute filed against JAMES A SEIJAS alleging, “Claimant alleges that in or about January 2019, FA recommended investments in a fraudulent hedge fund.”
In March of 2020, a customer dispute was filed against Seijas alleging, “Plaintiff alleges that from August 2017 to December 2019, FA misrepresented investments as part of a Ponzi scheme.”
If you have suffered investment losses due to the actions or recommendations of former WELLS FARGO CLEARING SERVICES, LLC of Short Hills, New Jersey, broker/financial advisor, JAMES A SEIJAS, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis, no fee to you if no recovery, and represents clients nationwide before FINRA.
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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