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.
One or more investors possibly experienced losses due to securities broker Patrick Morehead [CRD: 6661646, Los Angeles, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Morehead worked for American Trust Investment Services Inc. from January 27, 2020 to September 14, 2020, and with WestPark Capital Inc. from November 14, 2017 to January 27, 2020. Below, you can find out more about the allegations tied to Morehead’s conduct.
Notably, on May 13, 2025, a WestPark Capital client filed FINRA Arbitration No. 25-00885 about Patrick Morehead. Mainly, the client alleged that Morehead breached his fiduciary duty, breached a contract, was negligent, and violated the California securities laws. For this reason, the client allegedly experienced damages linked to direct investments and leveraged exchange traded funds. Consequently, the client requested $400,000 in compensation from WestPark Capital or Morehead. Evidently, this arbitration is pending a resolution.
Unsuitable alternative investments—such as those involving direct investments or leveraged ETFs—are products that do not align with a client’s investment profile. These alternatives tend to be complex, risky, and illiquid, and may expose investors to large losses if they’re not properly advised. Brokers must ensure that such investments match a client’s risk tolerance, financial needs, and objectives. If they fail to do so, they may be held accountable for resulting losses.
Did you experience losses because of Patrick Morehead? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Morehead and brokerage firms Morehead 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.
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