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 potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures.
Particularly, a client filed a complaint about Sean Fleming. Supposedly, Fleming recommended an investment in a private placement that later failed. Because of this, the investor apparently experienced damages on private placements. Therefore, on August 16, 2022, Fleming Financial Services settled this matter by paying the client $200,000 in damages.
Additionally, a client of Fleming Financial Services Inc. contested Sean Fleming’s sales practices, according to a complaint. Allegedly, Fleming recommended an investment in an inappropriate private placement. Clients claim the investment was unsuitable. It appears that Fleming caused the client to sustain damages. As a result, Fleming Financial Services Inc. opted to settle the matter on July 26, 2022, by compensating the client in the amount of $200,000.
Also, a client filed a complaint about Sean Fleming. Supposedly, Fleming recommended an investment in a private placement that later failed. For this reason, on July 26, 2022, Fleming Financial Services settled this matter by paying the client $80,000 in damages.
Moreover, a client of Fleming Financial Services contested Sean Fleming’s sales practices, according to a complaint. Allegedly, Fleming made unsuitable recommendations in private placements and two indexed annuities. Therefore, Fleming Financial Services opted to settle the matter on January 3, 2023, by compensating the client in the amount of $483,333.33.
Did you experience losses because of Sean Fleming? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has assisted hundreds of clients throughout the country, works on a contingency fee basis, and advances all costs. Fleming and brokerage firms Fleming 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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