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.
Cabin Securities is the firm named in each disclosure. The pending complaints are allegations that have not been resolved.
A customer dispute naming Sam Bhushan, filed October 20, 2022 under docket number 22-02378, concerned a Reg D private placement. The customer alleged $150,000 in damages, and the matter settled for $132,498 on March 30, 2023.
A statement on that disclosure calls the allegations inaccurate and says the investor filed the complaint against the firm, Cabin Securities, and not the representative. It adds that the firm conducted due diligence and that the investor, a sophisticated real estate investor, received the list of risk factors before investing.
The newest pending complaint, filed July 24, 2026 under docket number 26-01611, alleges $285,161 in damages over a Reg D private placement. The complaint against the firm asserts fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract and breach of fiduciary duty. Cabin Securities said in its statement that it conducted due diligence and that the investor is an experienced real estate investor and attorney.
A second pending complaint filed the same day, docket number 26-01484, alleges $1,000,000 in damages and asserts the same causes of action against the firm. Cabin Securities said Bhushan had no part in managing the investment, which it says was hurt by issues with the sponsor and the manager. The BrokerCheck reports of Mark Aaron Atchity and William Brian Candler list the same case number.
Filed June 25, 2026 under docket number 26-01362, a pending complaint alleges $765,000 in damages. According to the firm, the investor worked with a trusted advisor and family member who is a sophisticated real estate investor, and the risks were discussed with that person.
A pending complaint filed June 9, 2026, docket number 26-01242, alleges $308,000 in damages from a private placement. Cabin Securities says issues with the sponsor and the manager hurt the investment.
The May 28, 2026 complaint, docket number 26-01181, is pending and alleges $540,000 in damages. Cabin Securities describes the investors as sophisticated real estate investors who discussed the risks with the representative.
Sam Bhushan is the named respondent in a pending complaint filed April 7, 2026 under docket number 26-00718, which alleges $3,500,000 in damages. In its statement, the firm again says the investor worked with a trusted advisor and family member. The same case number appears on the BrokerCheck report of Mark Aaron Atchity.
Also filed April 7, 2026, a pending complaint under docket number 26-00782 alleges $140,000 in damages over a private placement. Cabin Securities said Bhushan had no role in managing that investment.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Sam Bhushan handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 6, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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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