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.
Chuck Roberts (CRD: 2064602) settled a Stifel customer dispute for $30,000,000 on September 11, 2026, after the claimant alleged $5,000,000 in damages.
Roberts, listed on BrokerCheck as Chuck A Roberts, is also named in a pending customer claim alleging $1,000,000 in damages. That claim is an allegation and has not been resolved.
A customer filed the dispute behind that settlement on December 5, 2024, under docket number 24-02559. The claimant alleged breach of fiduciary duty, negligence, fraud, breach of contract, and violations of Sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5.
A second Chuck Roberts dispute at Stifel settled the same day. That claim, filed December 2, 2024 under docket number 24-02533, raised the same claims plus a violation of the Florida Securities and Investor Protection Act. The claimants alleged $1,000,000 in damages, and the matter settled for $2,350,000.
Chuck Roberts settled a March 24, 2025 complaint, docket number 25-00596, on July 7, 2026 for $700,000. Those claimants alleged $500,000 in damages and added a violation of the Montana Securities Act to the federal claims.
Filed January 16, 2025 under docket number 25-00095, another dispute alleged $5,000,000 in damages and settled for $3,000,000 on May 11, 2026.
The earliest of the Stifel disputes, filed October 2, 2024 under docket number 24-02111, also cited the Florida Securities and Investor Protection Act. Claimants alleged $1,000,000 in damages, and it settled for $1,175,000 on April 15, 2026.
Chuck Roberts is named in a pending complaint filed August 24, 2026 under docket number 26-01904. The claimant alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violations of Sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, with alleged damages of $1,000,000.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Chuck Roberts handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 6, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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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