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 potentially incurred losses because of securities broker Shuang Guo (also known as Grace Guo) [CRD: 6728775, Myrtle Beach, South Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Guo worked for AC Sunshine Securities LLC from September 26, 2022, to May 15, 2023; Pruco Securities LLC from April 26, 2023, to November 14, 2024; Prudential Financial Planning Services from September 27, 2023, to November 14, 2024; and LPL Enterprise LLC from November 14, 2024, to December 19, 2025. Guo has been registered with Kovack Securities Inc. and Kovack Advisors Inc. since March 26, 2026. Investors are encouraged to continue reading to learn more about Guo’s disclosures.
Evidently, an LPL Enterprise client disputed Shuang Guo’s sales practices in a complaint dated October 2, 2025. Allegedly, Guo changed an account without obtaining the client’s signature. LPL Enterprise denied the complaint on October 22, 2025.
Additionally, on November 20, 2025 LPL Enterprise disaffiliated with Guo. Notably, the firm alleged that Guo did not adequately protect a client’s personally identifiable information while communicating through an unapproved messaging platform.
Also, on June 23, 2020, a Pruco Securities LLC client filed a complaint about Guo. The client alleged that Guo made omissions concerning fees, expenses, charges, and details about purchasing life insurance for long-term care purposes. The firm denied the complaint on July 1, 2020.
Are you concerned about investments you made through Shuang Guo? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Guo and brokerage firms Guo worked for deny 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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