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 is investigating possible investor claims against securities broker David Lee Hutchinson [CRD: 2918290, Bellevue, Washington]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Notably, investors allege sales practice violations, including misrepresentations. Here is a brief summary of the disclosures about Hutchinson. Remember that the broker denies the accusations against him.
Specifically, a client of Equitable Advisors LLC contested David Hutchinson’s sales practices, according to a complaint dated August 8, 2022. Allegedly, Hutchinson made misrepresentations. Supposedly, Hutchinson caused the client to sustain damages on mutual funds. Therefore, the client sought compensatory relief from Equitable Advisors LLC or Hutchinson. However, the securities firm and broker denied this complaint.
Also, an AXA Advisors Inc. client filed a complaint about David Hutchinson. Namely, the client alleged that Hutchinson made omissions and made unsuitable recommendations. Because of this, the client allegedly sustained damages on mutual funds and variable annuities. Therefore, on October 26, 2005, AXA Advisors Inc. settled this matter by paying the client compensation.
David Hutchinson worked for Equitable Advisors LLC as a securities broker since July 1997 and as a financial advisor since March 2004.
Did you experience losses because of David Hutchinson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has helped recover money for investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Hutchinson and brokerage firms Hutchinson 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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