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.
Investors might have sustained losses due to securities broker Roy Chuck Waugh [CRD: 2130562, Lawton, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roy Waugh joined Ameriprise Financial Services LLC on May 6, 1991. Here’s more about the securities broker’s disclosures.
Specifically, an Ameriprise Financial Services client filed FINRA Arbitration No. 22-01959 about Roy Waugh. Supposedly, Waugh did not pay the correct beneficiaries on a policy. So, on August 1, 2023, Ameriprise Financial Services settled this matter by paying the client $15,000 in damages.
Particularly, on July 19, 2018, an Ameriprise Financial Services Inc. client filed a complaint about Roy Waugh. Supposedly, Waugh did not disclose the costs and risks associated with a variable annuity and other investments. Because of this, the client allegedly sustained damages on real estate securities, variable annuities, and exchange traded funds. As a result, the client requested $260,725 in compensation from Ameriprise Financial Services Inc. or Waugh. The firm denied this complaint.
Also, a client of Ameriprise Financial Services Inc. contested Roy Waugh’s sales practices, according to a complaint dated August 15, 2011. Allegedly, Waugh did not follow her instruction to place her annuity IRA assets into the fixed subaccount allocation. Therefore, the client sought compensation from Ameriprise Financial Services Inc. or Waugh. The securities firm denied this complaint.
Suffered losses because of Roy Waugh? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Waugh and brokerage firms Waugh worked for deny accusations 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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