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 have come forward with complaints about securities broker Scot Barringer AKA Scott Barringer [CRD#: 1385168, Denver, CO]. Notably, the securities broker, who worked for Westpark Capital, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Supposedly, Westpark Capital clients allege that Barringer made misrepresentations and unsuitable transactions. For more on these disclosures about Barringer, see below.
Evidently, on October 4, 2022, a Westpark Capital client filed FINRA Arbitration #. 22-02057 about Scot Barringer. Namely, the client alleged that Barringer made misrepresentations and unsuitable transactions. Because of this, the client allegedly sustained damages. Therefore, the client requested compensation from Westpark Capital or Barringer. Evidently, this arbitration is pending a resolution.
Also, on June 15, 2022, a Westpark Capital client filed FINRA Arbitration #. 22-01829 about Scot Barringer. Namely, the client alleged that Barringer made unsuitable transactions and made omissions. Because of this, the client allegedly sustained damages on GWG L Bonds. Therefore, the client requested $60,000 in compensation from Westpark Capital or Barringer. Evidently, this arbitration is pending a resolution.
Evidently, a client of Westpark Capital contested Scot Barringer’s sales practices, according to a complaint dated April 6, 2022. Allegedly, Barringer made unsuitable transactions. Supposedly, the GWG L Bonds transactions caused the client to sustain damages. Therefore, the client seeks compensatory relief from Westpark Capital or Barringer in the amount of $60,000 in this ongoing matter.
Also, on October 9, 2013, a Newport Coast Securities client filed a complaint about Scot Barringer. Namely, the client alleged that Barringer made unsuitable transactions. Because of this, the client allegedly sustained damages on private placements. Therefore, the client requested $200,000 in compensation from Newport Coast Securities or Barringer. Evidently, the firm paid the customer $70,000 to settle the matter.
Evidently, on October 8, 1992, NASD sanctioned Scot Barringer for infractions. Specifically, NASD issued a suspension and a $10,000 fine.
Scot Barringer worked for Westpark Capital in Denver, CO, as an investment advisor representative from August 1, 2016 to July 16, 2020. Barringer has been associated with American Trust Investment Services in Lisle, IL, as a securities broker since July 22, 2020.
Have you suffered damages because of Scot Barringer? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. 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 all costs. Barringer and brokerage firms Barringer worked for deny any and 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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