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.
Soreide Law Group is investigating possible investor claims against securities broker Jonathan Rich AKA Jonathan Craig Rich [CRD#: 2271478, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for National Securities Corp. Allegedly, Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary FINRA’s allegations against Rich.
Evidently, on June 22, 2022, FINRA issued Case #: 2019061652403 sanctioning Jonathan Rich for infractions. Specifically, FINRA barred the securities broker. Notably, FINRA alleged that Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules.
Supposedly, on May 6, 2022, National Securities Corporation filed a Form U5 with FINRA indicating that Rich's affiliation with the firm had been terminated. Specifically, National indicated that Rich had been permitted to resign based on allegations of violation of Regulation M. FINRA began an investigation into Rich as a result of a 2018 cycle examination of Rich. In connection with their investigation, FINRA sent Rich a request to Rich on May 26, 2022, for on-the-record testimony. The request for on-the-record testimony concerned Rich's role in the solicitation of aftermarket orders during restricted periods and his supervision of National's representatives. Through his counsel, on June 2, 2022, Rich indicated that he had received FINRA's request but would not appear for on-the-record testimony. As a result, Rich violated FINRA Rules 2010 and 8210.
Also, Suppes Securities disaffiliated with Rich. Allegedly, Rich engaged in private securities transactions.
Evidently, National Securities Corp. disaffiliated with Rich. Namely, National Securities Corp. alleged that Rich violated Regulation M.
Also, on August 18, 1999, a First Colonial Securities Group client filed a complaint about Jonathan Rich. Notably, the client alleged that Rich made unauthorized transactions. Because of this, the client sustained damages on over-the-counter equities. Therefore, the client requested $8,700 in compensation from First Colonial Securities Group or Rich. Evidently, this complaint is pending a resolution.
Jonathan Rich worked for B. Riley Securities in New York, NY, as a securities broker from May 17, 2021 to May 6, 2022.
Have you suffered damages because of securities broker Jonathan Rich? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Rich and brokerage firms Rich was employed by deny any and all allegations 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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