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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses information about securities broker / financial advisor Michael Harris Sears [CRD: 2205917, Englewood, Florida]. Sears has worked for several employers, including Osaic Wealth Inc. in Virginia Beach, Virginia, since January 19, 2024, and previously with Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024. He also worked for Questar Asset Management Inc. and Questar Capital Corporation in Englewood, Florida, from December 1, 2006, to March 1, 2019. Sears has faced client disputes over his career, including allegations of unsuitable recommendations and unauthorized trading. Keep reading for more details on these disclosures.
On October 6, 2022, a client of Questar Capital Corporation filed a complaint accusing Michael Sears of making unsuitable recommendations in real estate securities. The client asked for $5,000 in damages; however, Questar Capital Corporation denied the complaint, and no compensation was awarded.
Michael Sears was involved in another dispute that was resolved on March 4, 2016. A client accused Sears of providing misinformation that resulted in a loss of guaranteed income in a variable annuity. This matter settled for $53,500.
On December 2, 2010, a client initiated a FINRA Arbitration Claim about Michael Sears, alleging unsuitable trading in variable annuities. The dispute was resolved with a $40,000 settlement to the client. FINRA Arbitration No. 08-04210.
On April 13, 2009, a client of Questar Capital Corporation made a complaint alleging that Michael Sears engaged in unauthorized trading in stocks. The client requested damages, but the complaint was denied by the firm, resulting in no compensation.
For more information, contact Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney. Sears and the firms he worked for deny allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]