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 Allen Maute [CRD: 4307126, Springfield, Ohio]. Notably, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Maute failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Maute.
Specifically, on August 3, 2021, FINRA issued Case: 2021071386501, which contains sanctions against David Maute for infractions. Maute was barred as a securities broker. Mainly, FINRA alleged that Maute failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules.
Namely, FINRA says that on July 1, 2021, FINRA sent Maute a request seeking the production of documents and information concerning allegations that Maute arranged a loan between himself and a client of Allstate Financial Services LLC. However, on July 14, 2021, Maute indicated to FINRA staff that he had received the request but would not provide the requested information and documents. Consequently, Maute violated FINRA Rules 2010 and 8210.
Particularly, on May 13, 2021, Allstate Financial Services LLC terminated the registration of Maute. Allstate Financial Services LLC alleged that Maute was the subject of a client complaint.
Maute worked for Allstate Financial Services LLC in Springfield, OH, as a securities broker from December of 2000 to May of 2021.
Have you experienced damages by investing with David Maute? If so, get in touch with Soreide Law Group at (888) 760-6552 and consult with a securities lawyer concerning a possible recovery of your investment losses or other damages. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances costs. Maute and brokerage firms Maute 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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