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 securities broker Neil Koch [CRD: 4800437, Minneapolis, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for American Enterprise Investment Services Inc. Allegedly, Koch failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Koch.
Specifically, on June 28, 2022, FINRA issued Case: 2022074162901, which contains sanctions against Neil Koch for infractions. Notably, Koch was barred as a securities broker. FINRA alleged that Koch failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules.
Namely, FINRA says that on April 8, 2022, FINRA sent Koch a request seeking the production of information and documents concerning allegations of Koch violating American Enterprise Investment Services’ company code of conduct regarding his activities outside the firm. On June 10, 2022, Koch indicated to FINRA staff that he had received the request but would not produce the requested information and documents at any time. Koch violated FINRA Rules 2010 and 8210 as a result.
Koch worked for American Enterprise Investment Services Inc. in Minneapolis, MN, as a securities broker from July of 2015 to February of 2022.
Did you sustain damages because of Neil Koch? If so, contact Soreide Law Group at (888) 760-6552 and talk with a securities attorney concerning the potential recovery of your investment losses or other damages. Soreide Law Group, who has effectively recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances costs. Koch and brokerage firms Koch worked for deny 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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