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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stephen Paul Haskell [CRD: 6864948, Richmond, Virginia]. Haskell has worked for securities firms including WealthForge Securities LLC, where he was involved in the sale of private placements, and FNEX Capital LLC, where he has been employed since January 21, 2022. Some investors have raised concerns regarding Haskell's conduct, leading to disputes. Keep reading to learn more about allegations involving Stephen Haskell.
On February 5, 2024, a client of WealthForge Securities LLC filed FINRA Arbitration No. 23-03542, accusing Stephen Haskell of negligence, providing unsuitable investment advice, and breaching his fiduciary duties in connection with private placements. The client alleged that these actions caused damages and asked for $325,000 in compensation from WealthForge Securities or Haskell. However, this client withdrew the complaint.
FINRA BrokerCheck shows that Haskell was previously referenced in FINRA Arbitration No. 23-01504, which settled on December 18, 2023. The client accused Haskell of negligence, nondisclosures, misrepresentations, failure to conduct reasonable due diligence on private placements, breach of fiduciary duty, and breach of contract. WealthForge Securities LLC settled the matter by paying the client $50,000 in compensation.
For more information on the claims about Stephen Haskell, contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Haskell and the firms he worked for deny accusations of sales practice violations. Notably, Soreide Law Group has experience representing investors throughout the country. The firm also handles cases on a contingency basis.
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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