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 obtained the following information, available to the public on FINRA’s website, from the October 2017 Disciplinary Reports:
SHELLEY STEUER FREEMAN (Also known as: SHELLEY STENER FREEMAN,SHELLEY STEVER FREEMAN) CRD#: 1262649, Fort Lauderdale, Florida)
was barred by FINRA for allegedly failing to provide FINRA with requested documents and information.
(FINRA Case #2017053680101)
FINRA or the Financial Industry Regulatory Authority provides a nationwide dispute resolution forum for investors. Claims typically take about 8 to 12 months to fully prosecute. Securities arbitrations are complex, and retail customers should hire experienced counsel to represent them because the brokers and brokerage firms will be represented by knowledgeable securities attorneys.
According to FINRA’s BrokerCheck, FINRA has barred SHELLEY STEUER FREEMAN from acting as a broker or otherwise associating with firms that sell securities to the public. Also on FINRA’s BrokerCheck report it was alleged that Wells Fargo Clearing Services, LLC discharged SHELLEY STEUER FREEMAN “after concerns were identified about her management of retail sales activities in the Community Bank.”
SHELLEY STEUER FREEMAN had 23 years in the securities industry and was listed with 8 firms, the most recent listed below:
04/21/2010 - 03/23/2017 WELLS FARGO CLEARING SERVICES, LLC - BEVERLY HILLS, CA
12/13/2000 - 04/26/2010 WELLS FARGO INVESTMENT, LLC - SAN FRANCISCO, CA
If you were a client of former WELLS FARGO CLEARING SERVICES, LLC of BEVERLY HILLS, CA broker, SHELLEY STEUER FREEMAN, and experienced losses due to her actions or recommendations, call Soreide Law Group, based in Pompano Beach, Florida, and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis. Let our experience work for you.
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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