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 incurred losses because of securities broker Christopher Michael Dukes (also known as Chris Dukes) [CRD: 4712873, Westlake Village, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Dukes worked for WestPark Capital Inc. beginning November 14, 2017, and previously worked for Delta Investment Management LLC from November 1, 2018, to December 4, 2019. Investors should continue reading to learn more about the disclosures involving this individual.
Specifically, a WestPark Capital Inc. client filed FINRA Arbitration No. 23-02122 about Christopher Dukes. Primarily, the client alleged that Dukes made unsuitable recommendations, breached a contract, was negligent, and breached his fiduciary duty. Because of this, the client allegedly experienced damages related to GWG L bonds. Consequently, on May 23, 2024, WestPark Capital Inc. settled this matter by paying the client $8,500 in damages.
Notably, a Westpark Capital Inc. client filed FINRA Arbitration No. 23-00100 about Christopher Dukes. Mainly, the client alleged that Dukes made unsuitable recommendations and was negligent. For this reason, the client allegedly incurred damages linked to GWG investments. Therefore, on January 8, 2024, Westpark Capital Inc. settled this matter by paying the client $14,999 in damages.
Particularly, on February 13, 2023, a Westpark Capital Inc. and VFG Securities client filed FINRA Arbitration No. 22-02853 about Christopher Dukes. Primarily, the client alleged that Dukes converted funds and breached his fiduciary duty. Because of this, the client allegedly sustained damages connected to alternative investments. As a result, the client requested $830,000 in compensation from Westpark Capital Inc. and VFG Securities or Dukes. It appears that this arbitration is pending a resolution.
Evidently, a client of Westpark Capital Inc. contested Christopher Dukes’s sales practices by filing FINRA Arbitration No. 22-02227. Allegedly, Dukes made unsuitable recommendations and recommended illiquid investments. It appears that Dukes allegedly caused the client to sustain damages relating to GWG Holdings Inc. L bonds. Consequently, Westpark Capital Inc. opted to settle the matter on March 26, 2024, by compensating the client in the amount of $51,586.41.
Are you concerned regarding investments you made through Christopher Dukes? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Dukes and the brokerage firms Dukes worked for deny accusations 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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