Tony Barouti Investigation
Los Angeles, CA
According to FINRA records, Tony Barouti , a stockbroker who currently works for EmersonEquity , discloses a currently pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In one currently pending matter, a customer of Emerson Equity seeks damages of $100,000 and alleges that Barouti failed to disclose, fully and fairly, all material facts and risks associated with an investment.
In a recently filed matter, FINRA Case 22-464, a customer of Emerson Equity alleges that Barouti failed to disclose the speculative nature of an investment. Damages of $1.27 million are sought.
Barouti has been employed by Emerson Equity since 6/2017. He was employed by First Heartland Capital from 5/2014-6/2017. His prior employment includes LPL Financial and Newport Coast Securities.
If you have questions about an account handled by Tony Barouti , call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900