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 Robert Spencer (also known as Robert Jonathan Spencer) [CRD: 431878, Cheektowaga, NY]. Evidently, FINRA punished the securities broker, who worked for Cetera Advisor Networks LLC. Allegedly, Robert Spencer did not provide information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of FINRA’s case against Spencer.
Notably, on February 14, 2022, FINRA issued Case: 2020068414601 punishing Spencer for infractions. Specifically, Spencer was barred as a securities broker. Notably, FINRA alleged that Spencer failed to provide information and documents to FINRA when it investigated his possible private securities transactions (also known as “selling away” by securities brokers). The regulator’s rules call for securities brokers to comply in investigations or else face punishment including a potential bar as securities broker.
Evidently, Spencer worked for Cetera Advisor Networks LLC in Cheektowaga, NY, as a securities broker from September of 2013 to August of 2021.
Did you suffer damages by investing with Spencer? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for many investors in the United States, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Spencer and brokerage firms Spencer worked for 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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