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.
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
Richard Grant Cody (CRD #2794558, Registered Representative, Wall, New Jersey)
was fined a total of $27,500 and suspended from association with any FINRA member in any capacity for one year. The United States Court of Appeals for the First Circuit affirmed an SEC decision, which had sustained a NAC decision.
The FINRA sanctions were based on findings that Cody engaged in unsuitable and excessive trading in customers’ accounts, provided his customers with account summaries that contained materially misleading account values
and failed to timely update his Form U4 to disclose customer settlements.
This suspension is in effect from January 7, 2013, through January 6, 2014. (FINRA Case #2005003188901)
This ends the information from FINRA.
If you or a family member experienced financial losses due to your broker 'churning' your accounts, call for a free consultation with an attorney at, 888-760-6552, or visit our website: https://www.securitieslawyer.com.
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]