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.
RAYMOND WYMAN CHOW (RAYMOND W CHOW) is currently registered as a broker and as an investment advisor with WEDBUSH SECURITIES INC. of Elk Grove, California since 3/20/2008.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAYMOND W CHOW has been in the securities industry for 27 years and has been listed with 2 firms. Before WEDBUSH SECURITIES, RAYMOND W CHOW, was with ML STERN of Sacramento, California from 08/29/1997 - 03/24/2008. Chow has one disclosure on his FINRA CRD report.
There was a “Customer Dispute” filed against RAYMOND W CHOW dated 4/22/2025. This dispute is currently pending. The allegations are, “Per a signed agreement, Client's account has been managed by a 3rd Party Money Manager since 2017. Client's specific complaint is @ hedging technique employed by manager initiated in November, 2023 and again in March, 2024. Final hedge position closed in November 2024.” The damage amount requested is $489,825.00.
According to FinanceStrategists, hedging can be expensive, and the costs associated with using financial instruments to hedge must be carefully considered. Hedging strategies may not always be effective in controlling risks, and there is a risk that hedges can fail. The use of derivatives and other financial instruments for hedging may have regulatory and tax implications that must be carefully considered. Hedging is a strategy used to reduce or mitigate risk in various industries and markets. Regular monitoring and adjustment of the hedging strategy are necessary to ensure its effectiveness.
The Finance Stategists article adds that derivatives, insurance products, and diversification strategies are the most commonly used financial instruments for hedging. There are additional hedging strategies, such as portfolio hedging, interest rate hedging, currency hedging, and commodity hedging, which can be used to manage specific risks effectively. Implementing a hedging strategy requires a thorough understanding of the client's needs, risk tolerance, and investment objectives.
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
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]