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 incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being associated with Cetera Advisor Networks LLC from September 7, 2017, to June 29, 2023. Investors should review the information below to discover more about the disclosures involving Jarvis.
Evidently, on October 17, 2025, a Cetera Wealth Services LLC client filed FINRA Arbitration No. 25-02222 concerning Michael Jarvis. Primarily, the client alleged that Jarvis charged excessive fees. For this reason, the client allegedly experienced damages. Therefore, the client requested $800,000 in compensation from Cetera Wealth Services LLC or Jarvis. It appears that this arbitration awaits a resolution.
Also, a client of AXA Advisors LLC contested Michael Jarvis’s sales practices, according to a complaint. Allegedly, Jarvis engaged in unauthorized trading. It appears that Jarvis caused the client to experience damages linked to mutual funds. As a result, AXA Advisors LLC opted to settle the matter on June 24, 2002, by compensating the client in the amount of $132,860.
Did you suffer any investment-related losses because of Michael Jarvis? You can contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Jarvis and brokerage firms Jarvis worked for deny 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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