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 Mayur Dalal (also known as Mayur T. Dalal) (CRD: 1853077, New Hyde Park, New York). Evidently, FINRA sanctioned the securities broker, who worked for Kestra Investment Services LLC. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is a brief summary of FINRA’s allegations against Dalal.
Particularly, FINRA issued Case: 2020065664201 on March 9, 2021, sanctioning Mayur Dalal for infractions. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Supposedly, FINRA investigated Kestra Investment Services LLC’s termination of his registration as a securities broker for alleged private securities transactions and outside business activities.
Because of his failure to testify, Dalal was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities. That bar became effective on March 9, 2021.
Also, on June 19, 2017, an AXA Advisors LLC client filed a complaint about Mayur Dalal. Namely, the client alleged that Dalal made omissions of material fact. Because of this, the client allegedly sustained damages on variable annuities. Therefore, the client requested $117,000 in compensation from AXA Advisors LLC or Dalal. However, AXA Advisors LLC denied this complaint.
Did you sustain damages by investing with Mayur Dalal? You should contact Soreide Law Group at (888) 760-6552 and talk with a securities attorney about potentially recovering your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the country, represents clients on a contingency fee basis and advances all costs. Dalal and those firms Dalal 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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