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.
His report lists other 2026 settlements over loans or borrowed funds, and each names LPL Financial. It also shows a regulatory disclosure stating that Tunink failed to respond to FINRA requests for information.
The customer filed this arbitration on January 29, 2026 under docket number 25-02344, alleging $1,000,000 in damages. According to the disclosure, the broker obtained loans from the customer, some of which went into an investment.
The matter settled for $299,000 on August 11, 2026. It is the largest settlement on his report.
A claimant filed on February 18, 2026 under docket number 26-00377, alleging $79,040 in damages. That claimant also said the broker obtained loans that went into an investment. William Tunink settled the matter for $61,000 on June 17, 2026.
Another customer complained on March 12, 2026 that the advisor borrowed funds for an investment opportunity. That customer alleged $307,131 in damages, and the dispute settled for $91,895 on April 22, 2026.
BrokerCheck also shows two quick settlements of the same kind. One, received January 8, 2026, settled the next day for $75,000. Another settled for $41,000 on February 24, 2026, the day it arrived.
His report carries a regulatory disclosure, dated March 13, 2026, stating that William Tunink failed to respond to FINRA requests for information. Its case number is 2025087113601.
Under FINRA Rule 8210, FINRA can require brokers to provide information, documents and testimony during an investigation, and a response is mandatory. FINRA uses these requests to gather facts, often after a customer complaint or a report from a firm.
FINRA Rule 3240 generally prohibits brokers from borrowing money from customers. The rule allows narrow exceptions, such as loans from immediate family or from a bank, and the firm must have procedures that permit the arrangement. For most exceptions, the broker also needs the firm's approval in advance.
The rule exists because a loan puts the broker in debt to the person he advises, and that conflict can color the advice. Settlements like those on his report resolve the customers' claims without any finding.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that William Tunink handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 6, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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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