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 complained about securities broker / financial advisor Michael Joseph Valenta (also known as Mike Valenta) [CRD: 1386978, Westminster, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Valenta joined Cambridge Investment Research Inc. on June 19, 2008. The following information is an overview of the securities broker’s disclosures.
Specifically, a Cambridge Investment Research Inc. client filed FINRA Arbitration: 23-01330 about Michael Valenta. Mainly, the client alleged unsuitable recommendations. Because of this, the investor supposedly sustained damages on direct investments and oil and gas investments. As a result, on May 28, 2024, Cambridge Investment Research Inc. settled this matter by paying the client $70,000 in damages.
Particularly, a client of Cambridge Investment Research Inc. contested Michael Valenta’s sales practices by filing FINRA Arbitration: 22-01588. Notably, the investor alleged unsuitable recommendations. Allegedly, Valenta caused the client to sustain damages on direct investments, oil and gas investments, real estate securities, and exchange-traded funds. Consequently, Cambridge Investment Research Inc. opted to settle the matter on October 5, 2023, by compensating the client in the amount of $45,000.
Previously, a Cambridge Investment Research Inc. client filed FINRA Arbitration No. 22-01393 about Michael Valenta. Mainly, the client alleged non-diversification of assets. Because of this, the investor supposedly sustained damages on direct investments and oil and gas investments. Therefore, on July 30, 2023, Cambridge Investment Research Inc. settled this matter by paying the client $575,000 in damages.
Specifically, a client of Cambridge Investment Research Inc. contested Michael Valenta’s sales practices by filing FINRA Arbitration No. 22-00954. Notably, the investor alleged unsuitable advice. Allegedly, Valenta caused the client to sustain damages on direct investments and oil and gas investments. As a result, Cambridge Investment Research Inc. opted to settle the matter on May 18, 2023, by compensating the client in the amount of $595,000.
Additionally, on June 3, 2009, a Cambridge Investment Research Inc. client filed a complaint about Michael Valenta. Mainly, the client alleged unauthorized trading, breach of fiduciary duty, and omissions. Because of this, the investor supposedly sustained damages on mutual funds. Consequently, they requested $20,000 in compensation from Cambridge Investment Research Inc. or Valenta. However, the securities broker denied the complaint.
Did you suffer financially because of Michael Valenta? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group investment loss attorneys assist individuals throughout the United States, work on a contingency fee basis, and advance all costs. Valenta and brokerage firms Valenta worked for deny accusations 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]