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 obtained the following information on FINRA’s website from the September 2016, disciplinary report:
Laidlaw & Company (UK) LTD. (CRD #119037, London, England)
was censured, fined $10,000 and required to pay $27,787.07, plus interest, in restitution to clients for allegedly charging commissions plus a “handling fee” on certain transactions (which took place from approximately April 2013 to June 2014) in equity securities that were not fair and reasonable, taking into consideration the factors set forth in NASD Interpretative Material-2440-1(b) and Supplementary Material .01(b), and that exceeded 5 percent.
FINRA’s findings stated that as a result, Laidlaw & Company (UK) LTD. charged $27,787.07 in excessive commissions on a total of 421 transactions.
(FINRA Case #2014040622201)
If you were a client of Laidlaw & Company (UK) LTD. or any other brokerage and feel you were unfairly charged commissions on your transactions, call Soreide Law Group and speak to a lawyer at no cost regarding the possibility of recovering your losses at: 888-760-6552.
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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