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 apparently complained about securities broker James Randall Pringle (also known as JR Pringle) [CRD: 1277121, Indian Harbour Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pringle worked for Wells Fargo Clearing Services LLC from June 22, 2005, to January 13, 2026. Investors should review the information below to learn more about Pringle’s disclosures.
Evidently, on December 9, 2025, a Wells Fargo Advisors LLC client filed a complaint about James Pringle. Mainly, the client alleged that Pringle recommended investments which poorly performed and that he failed to act in the client’s best interest. For this reason, the client allegedly incurred damages. Therefore, the client requested compensation from Wells Fargo Advisors LLC or Pringle. The firm denied the complaint on January 30, 2026.
Specifically, on March 5, 2008, a Wells Fargo Advisors client filed a complaint about James Pringle. Mainly, the client alleged that Pringle recommended auction rate securities that poorly performed. Because of this, the client allegedly sustained damages linked to those auction rate securities. Consequently, the client requested compensation from Wells Fargo Advisors or Pringle. The matter was settled on August 15, 2008, for $175,000.
Also, on October 30, 2001, a UBS PaineWebber Inc. client filed a complaint about James Pringle. Mainly, the client alleged that Pringle made unsuitable recommendations. For this reason, the client allegedly incurred damages associated with over-the-counter equities and mutual funds. As a result, the client requested damages exceeding $5,000 in compensation from UBS PaineWebber Inc. or Pringle. The complaint was denied on February 5, 2002.
Do you need clarification on any investment losses relating to James Pringle? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Pringle and brokerage firms Pringle 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]