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 potential claims against John Thomas Financial. John Thomas Financial raised approximately $5,000,000 as the lead underwriter for America West. Certain investors were advised that within approximately six months the private placement shares would convert to publicly traded stock and all the investors would realize short-term profits. Instead, investors have suffered a complete loss in the investment.
Unbeknownst to these investors, in October 2008, John Thomas Financial acquired 15,000,000 warrants, and 5,000,000 options on America West. John Thomas Financial and certain officers of the company are being investigated by FINRA regarding the firm’s dealings in America West.
If you have suffered in the America West private placement, you may have a potential claim for recovery. Call Soreide Law Group for a free consultation with an attorney: 888-760-6552
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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