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 South Florida-based Soreide Law Group has been contacted by investors, particularly those who had been recommended GWG L-bonds from the former NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, broker, PETER LEWIS GOFFIN (PETER L GOFFIN). Goffin was previously registered both as a broker and as an investment advisor. PETER L GOFFIN was with NEWBRIDGE SECURITIES of Boca Raton, Florida for twenty years, from 10/06/2003 - 10/05/2023.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER L GOFFIN, has 36 years of experience in the securities industry and was listed with 5 firms. Goffin is currently not registered with any FINRA firms.
PETER L GOFFIN has 11 disclosures on his FINRA CRD report. Of the 11 disclosures, 1 is a “Regulatory” dated 3/31/1995, and the other 10 disclosures are “Customer Disputes.” Seven of the disputes have settled, 2 were denied, and 1 is pending. The significance of Goffin’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, PETER L GOFFIN’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
The following are some examples of the settled disputes filed against Goffin. A dispute dated 9/11/2024, filed against PETER L GOFFIN settled for $50,000.00. The allegations were, “BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE AND NEGLIGENCE, VIOLATION OF REG BI.” Another dispute filed against Goffin, dated 1/10/2024, settled for $295,635.00. The allegations were, “BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT AND NEGLIGENCE, AND NEGLIGENT SUPERVISION.” A dispute against PETER L GOFFIN dated 11/15/2023 had the following allegations, “BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE.” This dispute settled for $300,000.00.
To discuss this article or if your broker recommended GWG L-bonds, contact the South Florida-based Soreide Law Group and speak at no cost to an experienced securities lawyer who has successfully resolved many GWG cases before FINRA at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
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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