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 potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June 9, 2020. Investors are encouraged to continue reviewing the information below to discover more about the disclosures involving West.
Evidently, on May 7, 2024, an American Trust Investment Services Inc. client filed FINRA Arbitration No. 24-01000 concerning Ivan West. Primarily, the client alleged that West breached his fiduciary duty, was negligent, and that the firm failed to supervise certain representatives. For this reason, the client allegedly experienced damages relating to TIC 1031 investments. Therefore, the client requested $5,000,000 in compensation from American Trust Investment Services Inc. or West. It appears that this arbitration is ongoing.
Particularly, a client of Omni Brokerage contested West’s sales practices by filing FINRA Arbitration No. 11-01750. Allegedly, West made unsuitable recommendations. It appears that West caused the client to experience damages relating to oil and gas investments. As a result, Omni Brokerage opted to settle the matter on June 26, 2011, by compensating the client in the amount of $7,500.
Do you need clarification on any investment losses relating to Ivan West? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. West and brokerage firms West worked for deny allegations 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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