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 Thomas Woodward Hulick (also known as Tom Hulick) [CRD: 1806305, Woodcliff Lake, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hulick worked for Newbridge Securities Corporation from March 26, 2019, to May 12, 2020, and has been employed by Strategy Asset Managers LLC since January 2018. Read on to learn more about the disclosures involving Hulick.
Particularly, on August 25, 2025, a Strategy Asset Managers LLC client filed a complaint about Thomas Hulick. The client alleged that Hulick failed to supervise. The complaint alleged unsuitable investment recommendations regarding a closed-end income fund. For this reason, the investor allegedly incurred damages. Consequently, the client requested $500,000 in compensation from Strategy Asset Managers LLC or Hulick.
Notably, a client of Morgan Stanley DW Inc. contested Thomas Hulick’s sales practices, according to a complaint dated November 15, 2001. Allegedly, Hulick made unsuitable recommendations. It appears that Hulick allegedly caused the client to sustain damages linked to stocks. Therefore, the client sought compensation from Morgan Stanley DW Inc. or Hulick in the amount of $16,000 in this matter.
Did you experience losses because of Thomas Hulick? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Hulick and brokerage firms Hulick 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]