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.
Soreide Law Group, based in South Florida, is currently investigating investor claims regarding the broker/investment advisor, CHUCK A ROBERTS of Miami Beach, Florida. Roberts has been a registered representative of STIFEL, NICOLAUS & COMPANY of New York, New York, and Miami, Florida, since 2016. He currently is the Managing Director/Investments, according to the Stifel website. CHUCK A ROBERTS is facing alleged investor complaints due to the sale of structured notes totaling $23.5 million in damages. There are significant risks associated with structured products.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CHUCK A ROBERTS has 8 pending “Customer Disputes” totaling $23.5 million. Seven of the pending disputes were filed in 2023 and one in 2022. Some of the allegations are in part: “negligent misrepresentation, breach of fiduciary duty in connection with an outside investment in a hedge fund and with investments purchased at Stifel, misled about the risks and characteristics of certain investments, violation of the Florida securities and investor protection act, fraud, and breach of contract,” to name a few.
CHUCK A ROBERTS has been in the securities industry for 33 years and has been with Stifel since March of 2016, according to BrokerCheck. Roberts has 12 Disputes on his FINRA CRD report. Ten of the disputes are “Customer Complaints,” and 2 are “Regulatory.” Roberts was also suspended in 2010, while registered with Morgan Stanley, for four weeks and fined $40,000 for allegedly breaking industry rules about opening client accounts.
If you or a loved one have significant investment losses due to the actions or recommendations of the STIFEL, NICOLAUS & COMPANY of Miami Beach, Florida, CHUCK A ROBERTS, contact the South Florida-based Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
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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