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.
KURT EDWARD STAHL (KURT E STAHL, KURT STAHL) is currently a financial advisor with AE WEALTH MANAGEMENT, LLC of Lakewood Ranch, Florida. He has been with this firm since 5/10/2017. Kurt Stahl was previously registered as a broker and financial advisor with BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC of Sarasota, Florida, according to the SEC’s website.
KURT E STAHL has been in the securities industry for 11 years and has been listed with 4 firms. There are 3 “Customer Disputes” listed on Stahl’s report. One dispute has settled, one is pending and one was withdrawn, according to the SEC’s website.
On November 20, 2024, a “Customer Dispute” was filed against KURT E STAHL. The allegations are, “Breach of fiduciary duty, negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of Florida Securities and Investor Protection Act.” This dispute is still pending, and they are requesting damages of $1,750,000.00.
On June 14, 2018, another complaint was filed against KURT E STAHL. The allegations were, “The clients allege the representative stated that the Security Benefit Secure Income Index Annuities they purchased in 2016 would qualify as collateral to secure a bank loan. When multiple banks rejected the annuities as collateral, the clients surrendered their annuities incurring a surrender charge. The clients allege the annuities did not meet their financial goals and were misrepresented to them by the representative. The clients also allege that the representative's office of employment had a liability to supervise the actions of the representative.” The settlement amount was $20,000.00. In the Broker Comment, Stahl denies the allegations.
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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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