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.
A financial planner from Eugene, Oregon, James Scott McKee, was barred from the industry after he failed to comply with an arbitration award.
FINRA, the Financial Industry Regulatory Authority, had alleged that McKee steered his clients to invest $372,000 in businesses which he had a financial interest. It also alleged that McKee used $652,215 in client's money for his own benefit and recommended that a church invest $100,000 in a high-risk startup.
"It's almost impossible to fight FINRA with the expense that it takes," McKee said Thursday. "My license was not as important to solve as the other legal matters."
An alleged criminal case is pending.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide before FINRA. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations call for a free consultation on how to potentially recover your losses. To speak with an attorney call: 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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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