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 have reportedly disputed the sales practices of securities broker Joel T. Barjenbruch [CRD: 5295640, Omaha, Nebraska], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Barjenbruch worked for LPL Enterprise LLC from November 14, 2024, to the present, as well as Prudential Financial Planning Services from July 6, 2023, to November 14, 2024, and D.H. Hill Advisors Inc. from January 8, 2015, to July 5, 2023. Read on to learn more about the disclosures involving this securities broker.
Evidently, a D.H. Hill Securities LLLP client filed FINRA Arbitration: 24-01915 about Joel Barjenbruch. Mainly, the client alleged that Barjenbruch made unsuitable recommendations. For this reason, the client allegedly sustained damages relating to asset-backed bonds. Therefore, on October 21, 2024, D.H. Hill Securities LLLP settled this matter by paying the client $125,000 in damages.
Specifically, Nebraska issued a Decision & Order of Offer of Settlement on October 29, 2015 sanctioning Barjenbruch for infractions while he was associated with Securities America Inc. Allegedly, Barjenbruch engaged in dishonest or unethical business practices by violating FINRA Rule 2210, including failing to include required disclosures in a communication and failing to submit that communication to Securities America Inc. for approval. Consequently, Barjenbruch was ordered to pay a monetary penalty of $1,500.
Did you experience losses because of Joel Barjenbruch? You can contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the United States. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Barjenbruch and brokerage firms Barjenbruch worked for deny any 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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