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.
BETSY LOU WHIPPLE (BETSY L WHIPPLE, BETSY WHIPPLE) has been registered both as a broker and financial advisor since 6/14/2024 with OSAIC WEALTH INC. of Hiko, Nevada.Before Osaic Wealth, Whipple was registered with SECURITIES AMERICA ADVISORS, INC of Hiko Nevada from 05/15/2024 - 06/14/2024, and previously Whipple was with NEWBRIDGE FINANCIAL SERVICES GROUP, INC. of Hiko, Nevada from 03/20/2018 - 05/16/2024.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BETSY L WHIPPLE has 29 years of experience in the securities industry and has been listed with 15 firms. Whipple has 9 disclosures on her FINRA CRD report. All 9 disclosures are “Customer Disputes.” The significance of Whipple’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, BETSY L WHIPPLE’s customer complaints rank her in the top one-hundredth percent of all registered representatives for customer complaints.
Of the 9 “Customer Complaints,” 5 disputes are pending, 3 have settled and 1 was withdrawn. The five pending “Customer Complaints” have all been filed in 2024 and 2025. The allegations are similar with the some of the disputes alleging, “Per Newbridge Securities Corporation, breach of fiduciary duty, negligence, breach of contract, failure to supervise and violation of Reg BI,” and, “Per Newbridge Securities Corp filing, breach of contract, violation of state securities statutes, breach of fiduciary duty, negligence and vicarious liability.” The damage amounts requested range from $50,000.00 to $100,000.00.
The disputes that have settled against BETSY L WHIPPLE, settled with the following amounts, $10,000.00, $250,000.00, and $22,500.00. Whipple denies the allegations. Some of the allegations were, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FAILURE TO SUPERVISE AND VIOLATION OF REG BI.
On February 3, 2023, Soreide Law Group posted the following article to the blog:
Betsy Whipple of Newbridge Securities - Securities Lawyer
At the time of the posting in 2023, BETSY L WHIPPLE had 3 “Customer Disputes” on her FINRA CRD report. Today there are 9 “Customer Disputes” that have been filed against her.
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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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