John Alex (CRD: 2020710) settled customer disputes at Morgan Stanley and UBS Financial Services between 2011 and 2025, according to BrokerCheck, which lists him as John L. Alex.
Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. as of January 24, 2025, and with Alexander Capital Wealth Management LLC as of October 25, 2024. Read on to learn more about the allegations against this securities broker.
Particularly, a client brought a complaint about Amy Zwaan. The client alleged that Nuttall Zwaan misrepresented a variable annuity feature relating to income guarantees. The client also alleged the broker mishandled the annuity. For this reason, the client allegedly sustained damages. So, on June 30, 2025, LPL Financial LLC settled this matter by paying the client $26,000.00 in damages.
When brokers or financial advisors misrepresent annuity features, they may give inaccurate or incomplete information about how the product works—such as overstating guaranteed income, omitting surrender charges, or understating risks. This can mislead investors into purchasing annuities that do not fit their goals, risk tolerance, or financial situation, potentially resulting in financial harm.
Do you have concerns or questions regarding investments involving Amy Zwaan? If so, contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the United States. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Nuttall Zwaan and brokerage firms Nuttall Zwaan worked for deny allegations of sales practice violations.
John Alex (CRD: 2020710) settled customer disputes at Morgan Stanley and UBS Financial Services between 2011 and 2025, according to BrokerCheck, which lists him as John L. Alex.
Sam Bhushan (CRD: 4884717) is named in several pending customer complaints and one settled dispute, according to his BrokerCheck report.
Sterling Louviere (CRD: 2021328), listed on BrokerCheck as Sterling Vaughn Louviere, is named in a pending customer claim over Reg D private placements, with Cabin Securities as the firm named.
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