Last Updated: July 2025 — Nogales, Arizona
Here’s what you need to know about Nogales, AZ, stockbroker Ernesto A. Chavez Jr.:
- Name: Ernesto A. Chavez Jr.
- CRD Number: 4315877
- Current Employer: Emerson Equity LLC
- Function: Stockbroker / Financial Advisor
- Primary Location: Nogales, AZ
- Other Business Affiliations: Liden Financial; Ernesto Chavez, CPA; Cage Real Estate
- Alias: Ernesto Chavez
- Previously Registered With: Western International Securities Inc., J.P. Turner & Company Capital Management, LLC, Edward Jones
- Can Ernesto A. Chavez Jr. be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Termination by prior employer after allegations: Yes
- Highest Award or Settlement: $56,947
- Pending Customer Dispute Seeks Damages of: $100,000
If you’ve sustained damages from Mr. Chavez, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ernesto A. Chavez Jr. As Your Stockbroker?
Ernesto A. Chavez Jr. is currently involved in multiple customer disputes alleging misconduct while he was registered with Western International Securities Inc.:
- In FINRA Case No. 23-02384, filed August 30, 2023, a customer alleged breach of fiduciary duty, negligent misrepresentation, and breach of contract concerning the sale of corporate debt securities. This case settled on May 31, 2024, for $14,500.
- In FINRA Case No. 22-02276, filed October 6, 2022, a customer alleged unsuitable recommendations and misrepresentations related to corporate debt investments. This matter settled on September 27, 2023, for $56,947.
- A currently pending arbitration (FINRA Case No. 22-02062) filed in 2022 alleges breach of contract, violation of securities statutes, breach of fiduciary duty, and vicarious liability for recommendations of corporate debt products. The pending damages range from $100,000.
Mr. Chavez was permitted to resign from Edward Jones in 2010 during a compliance investigation into concerns about his knowledge of activities in a client’s account.
Allegations of Broker Misconduct Against Ernesto A. Chavez Jr.
The allegations reported against Ernesto A. Chavez Jr. include:
- Breach of Fiduciary Duty
- Negligent Misrepresentation & Misrepresentations
- Unsuitable Recommendations: Recommending investments inconsistent with a client’s profile violates FINRA Rule 2111, the Suitability Rule.
- Breach of Contract
Recover Your Investment Losses Now With Rex Securities Law
Investigations involving other Western International Securities brokers
See this for information on our other investigations of Emerson Equity stockbrokers.
If you have suffered investment losses in an account handled by Ernesto A. Chavez Jr., contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.