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Ernesto Chavez, Jr. Of Emerson equity LLC And Formerly With Western International Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Ernesto Chavez, Jr. of Emerson equity LLC?

Ernesto Chavez, Jr.

Ernesto Chavez, Jr. (CRD #4315877) who is currently registered as a broker and investment adviser with Emerson equity LLC and located in San Mateo, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson equity LLC, Ernesto Chavez, Jr. was associated with Western International Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Ernesto Chavez, Jr. Customer Complaints

Ernesto Chavez, Jr. has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was recently settled by Western and International Securities for Ernesto Chavez’s alleged misconduct. There are currently 2 other FINRA arbitration proceedings still pending against Western International for Ernesto Chavez’s alleged misconduct.

Allegations Against Ernesto Chavez, Jr.

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Breach of fiduciary duty, negligent misrepresentation, and breach of contract in connection with the sale of corporate debt.
  • Breach of contract, violation of securities statutes, breach of fiduciary duty and other claims under common law related to GWG L Bonds.
  • Unsuitable investment recommendations and misrepresentations related to corporate debt.

Ernesto Chavez, Jr. Red Flags & Your Rights As An Investor

Of course, Ernesto Chavez, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ernesto Chavez, Jr.at Emerson Equity LLC and Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernesto Chavez, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity LLC and Western International Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Emerson equity LLC Due To Ernesto Chavez, Jr.

If you have questions about Emerson equity LLC, Western International Securities, Inc. and/or Ernesto Chavez, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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