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 Jim Kent (also known as James Daniel Kent Jr.) [CRD: 2255753, Pinellas Park, FL]. Mainly, FINRA sanctioned the securities broker, who worked for Emerson Equity LLC. Allegedly, Kent failed to make regulatory disclosures. Also, investors filed disputes about the securities broker. Here is a brief summary of these disclosures.
Evidently, on July 19, 2022, FINRA issued Case: 2021071506202 sanctioning Jim Kent for infractions. Specifically, Jim Kent was issued an 8-month suspension as a securities broker, meaning FINRA disallowed him from maintaining an association with FINRA-member firms. Also, the financial regulator issued him a fine in the amount of $5,000. Notably, FINRA alleged that Jim Kent failed to disclose a felony charge.
Also, a client of Emerson Equity LLC contested Jim Kent’s sales practices by filing FINRA Arbitration: 22-01444 on June 24, 2022. Allegedly, Kent made unsuitable recommendations, made misrepresentations to the client, made omissions of material fact, and violated FINRA rules. It is alleged that Kent caused the client to sustain damages on corporate bonds. Therefore, the client asked for compensatory relief from Emerson Equity LLC or Kent in the amount of $190,000 in this dispute, which the firm and broker denied.
Additionally, on April 22, 2022, an Emerson Equity LLC client filed FINRA Arbitration: 22-00882 about Jim Kent. Namely, the client alleged that Kent violated federal securities laws, breached a contract, acted unethically, breached a fiduciary duty, and was negligent. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, the client requested $600,000 in compensation from Emerson Equity LLC or Kent.
Also, Emerson Equity LLC disaffiliated with Jim Kent on May 12, 2021. Allegedly, Kent failed to disclose a felony charge.
Moreover, on June 3, 2010, a Brecek Young Advisors Inc. client filed a complaint about Jim Kent. Namely, the client alleged that Kent made unsuitable recommendations and made misrepresentations to the client. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested compensation from Brecek Young Advisors Inc. or Jim Kent However, the broker denied this complaint.
Also, a client of PaineWebber Incorporated contested Jim Kent’s sales practices, according to a complaint. Allegedly, Kent made unsuitable investment recommendations. Supposedly, Kent caused the client to sustain damages. Therefore, PaineWebber Incorporated opted to settle the matter by compensating the client in the amount of $14,990.
Evidently, a PaineWebber Incorporated client filed a complaint about Jim Kent. Namely, the client alleged that Kent churned accounts, engaged in unauthorized trading, and overconcentrated accounts in certain investments. Because of this, the client allegedly sustained damages. Therefore, PaineWebber Incorporated settled this matter by paying the client $30,000 in damages. However, the firm and Kent admit no liability in this settlement.
Did you incur damages through investing with Kent? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered funds for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Kent and brokerage firms Kent worked for deny any and all 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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