Jonathan Evans Varelas [CRD: 7326567], a broker based in River Vale, New Jersey, disclosed a client complaint, according to BrokerCheck . He has worked with LPL Financial LLC since May 26, 2026. He has also worked with Sterling Legacy Advisors Inc. since February 6, 2026. Before that, Varelas was registered with Equitable Advisors LLC as […]

Gerald James Page (CRD: 7577838), a former NYLife Securities LLC broker based in Horsham, Pennsylvania, worked for the firm from September 21, 2022, to July 23, 2026. BrokerCheck disclosures describe a FINRA disciplinary action against Page following an inquiry into possible undisclosed outside business activities. Below is a closer look at how the regulatory matter […]

GWG L bonds are at the center of a FINRA arbitration claim that Soreide Law Group filed in July 2026 for a retired couple in their eighties. The claim names Ernesto Chavez (CRD: 4315877) and Western International Securities. Attorney Lars K. Soreide signed the statement of claim, dated July 16, 2026. It alleges damages of […]

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.

Without admitting or denying the findings, Howard Kavinsky (CRD: 5881623) consented to FINRA findings that he falsified at least 190 consolidated account statements, according to BrokerCheck. Those statements covered at least eight customers, some of whom were seniors.

Robert Burns (CRD: 1286211) faces a pending customer claim that alleges excessive trading and $200,000 in damages, according to BrokerCheck. The claim names Burns Financial Advisors, his outside RIA.

Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.