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 apparently complained about investment adviser Claud Arthur Haws Sr. (also known as Art Haws) [CRD: 2051664, Franklin, Tennessee], according to public information on FINRA BrokerCheck. Evidently, Haws worked for Mercer Global Advisors Inc. as a Senior Wealth Advisor and Director from January 1, 2022, to the present, and previously for HawsGoodwin Investment Management LLC as a Managing Member from November 1, 2012, to December 31, 2021. Keep reading to learn more about the disclosures involving Haws.
Particularly, on March 12, 2024, a HawsGoodwin Investment Management LLC and Mercer Global Advisors Inc. client filed FINRA Arbitration No. 24-00553 about Claud Haws Mainly, the client alleged that Haws made sales practice violations concerning a private investment vehicle. Because of this, the client allegedly incurred damages relating to private fund interests. Therefore, the client requested $4,472,093 in compensation from HawsGoodwin Investment Management LLC, Mercer Global Advisors Inc., or Haws. Evidently, this matter settled for $4,250,000 in damages connected to June 17, 2025.
Additionally, a client of HawsGoodwin Investment Management LLC and Mercer Global Advisors Inc. disputed Claud Haws’s sales practices by filing FINRA Arbitration No. 24-00498 on March 5, 2024. Allegedly, Haws made sales practice violations in connection with a private investment vehicle. It appears that Haws caused the client to sustain damages. As a result, the client sought compensation from HawsGoodwin Investment Management LLC, Mercer Global Advisors Inc., or Haws in the amount of $843,124. This matter settled for $1,200,000 in damages associated with July 7, 2025.
Are you concerned regarding investments you made with Claud Haws? Contact Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Haws and brokerage firms Haws 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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