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 losses due to securities broker Kevin Michael Barth [CRD: 6624302, Greensboro, North Carolina], according to publicly available information on FINRA BrokerCheck. Evidently, Kevin Barth has been registered with Edward Jones in Greensboro, North Carolina, since May 3, 2016, in the capacity of a broker, and since October 21, 2016, as an investment adviser. Keep reading to find out more about the disclosures involving Barth and the nature of the allegations against him.
Particularly, on February 13, 2025, an Edward Jones client filed a complaint about Kevin Barth. The client alleged that Barth engaged in unauthorized trading, which allegedly resulted in unexpected tax consequences. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested compensation from Edward Jones or Barth. While the client did not specify a dollar amount, the firm reported that the damage from the alleged conduct exceeds $5,000, triggering disclosure requirements. As of now, this matter remains pending and unresolved.
Unauthorized trading refers to the act of a broker making trades in a client’s account without obtaining prior approval. Brokers are generally required to have either discretionary authority or explicit client consent for each transaction. When a broker executes trades without the necessary permission, they can expose the investor to unwanted financial risks, including tax liabilities or market losses. Such actions can be seen as a breach of trust and may violate both firm policies and industry regulations.
Did you experience losses because of Kevin Barth? You can get in touch with Soreide Law Group online or at (888) 760-6552. Talk to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors across the US, represents clients through a contingency fee basis, and advances all costs. Barth and brokerage firm Edward Jones 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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