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 Kevin Thomas Fles (CRD: 4747383, Sikeston, Missouri). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisors LLC. Evidently, one or more investors alleged misconduct in these disputes, including that Fles made unsuitable recommendations. Here is a brief summary of the disclosures about Fles.
Also, a Cetera Advisors LLC client filed FINRA Arbitration: 20SO-CV01605 about Kevin Fles. Namely, the client alleged that Fles provided unsuitable advice. Because of this, the client allegedly sustained damages on real estate securities. Therefore, on June 3, 2022, Cetera Advisors LLC settled this matter by paying the client $15,000 in damages.
Specifically, a client of Cetera Advisors LLC contested Kevin Fles’ sales practices, according to a complaint dated February 25, 2020. Allegedly, Fles made unsuitable recommendations. Supposedly, Fles caused the client to sustain damages on direct investments (LP interests and DPP interests) and corporate bonds. Therefore, the client seeks compensatory relief from Cetera Advisors LLC or Fles in the amount of $40,000 in this matter. However, the securities firm closed this complaint.
Fles joined Cetera Advisors LLC as a securities broker in February 2012. Also, he has worked for Cetera Advisors LLC as a financial advisor since February 2012.
Sustained damages due to securities broker Kevin Fles? If so, contact Soreide Law Group at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has helped recover money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Fles and brokerage firms Fles worked for deny any and all accusations of sales-related misconduct.
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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