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 possible investor claims against securities broker Stephen Christopher Tadlock (also known as Chris Tadlock) [CRD: 5746664, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of the disclosures about Tadlock.
Evidently, an Ameriprise Financial Services LLC client filed FINRA Arbitration: 19-00865 about Stephen Tadlock. Namely, the client alleged that Tadlock made unsuitable recommendations. Because of this, the client allegedly sustained damages on fixed and variable annuities. Therefore, on June 1, 2020, Ameriprise Financial Services LLC settled this matter by paying the client $65,000 in damages.
Specifically, on July 30, 2017, Ameriprise Financial Services LLC terminated the registration of Tadlock. Namely, Ameriprise Financial Services LLC alleged that Tadlock failed to comply with the securities broker dealer’s policies.
Have you suffered damages by investing with Stephen Tadlock? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney concerning the potential recovery of your investment losses or other damages. Soreide Law Group, who has effectively recovered money for many investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Tadlock and brokerage firms Tadlock worked for deny any and all 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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