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 apparently complained about securities broker Ryan Gregory Caldwell [CRD: 6642132, New York, New York], according to disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Caldwell worked for Morgan Stanley from December 22, 2017, to June 22, 2023. Read below to find out more about the disclosures concerning Caldwell and the allegations that have surfaced against him.
Notably, on September 20, 2024, a Morgan Stanley client filed FINRA Arbitration No. 24-02034 about Ryan Caldwell. Primarily, the client alleged that Caldwell engaged in unauthorized trading in 2022 and 2023. Because of this, the client allegedly sustained damages connected to options. As a result, the client requested $1,200,000 in compensation from Morgan Stanley or Caldwell. This arbitration is pending a resolution.
Evidently, MSWM disaffiliated with Caldwell on May 23, 2023. Allegedly, Caldwell used an unapproved method to communicate with a client about a private securities transaction when he worked for the firm.
Do you need clarification on any investment losses relating to Ryan Caldwell? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group is known for recovering losses for clients throughout the United States. The firm also works on a contingency fee basis and advances all costs. Caldwell and brokerage firms Caldwell worked for deny all allegations referenced in public disclosures.
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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