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, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.”
Denise Ellen Roy Malin (CRD #3145027, Registered Principal, Grottoes, Virginia)
was barred from association with any FINRA member in any capacity. Malin's customer opened variable annuity accounts and a mutual fund brokerage account and invested $16,600 in the mutual fund account and $65,000 in the variable annuities. Malin had a power of attorney for the customer.
FINRA's findings stated that Malin began withdrawing funds from the customer’s brokerage account, totaling approximately $16,660 by logging into the account through the firm’s electronic account system, without the customer’s authorization. Malin gave the customer $5,000 and converted the remaining $11,660 for her personal use. Malin also converted approximately $81,633 from the customer’s mutual fund brokerage account and the variable annuities.
(FINRA Case #2012034386401)
Denise Malin was previously registered with the following FINRA firm:
PFS INVESTMENTS INC. (CRD# 10111) - WEYERS CAVE, VA
03/1999 - 10/2012
This ends the summation of information from FINRA’s website.
Soreide Law Group, represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses call: 888-760-6552.
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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