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 might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April 4, 2014, as a financial advisor. Investors are encouraged to continue reading to learn more about disclosures involving Terri Fassi.
Also, a Centaurus Financial Inc. client filed FINRA Arbitration No. 23-02342 about Terri Fassi. Mainly, the client alleged that Fassi breached her fiduciary duty by recommending a speculative, high-risk, illiquid, and complex investment in September 2019. Because of this, the client allegedly incurred damages on real estate securities. As a result, on January 8, 2024, Centaurus Financial Inc. settled this matter by paying the client $16,000.
Particularly, a client of Centaurus Financial Inc. disputed Terri Fassi’s sales practices, according to a complaint dated April 4, 2008. Allegedly, Fassi made unsuitable recommendations in variable annuities and failed to fully disclose terms and features. It appears that Fassi allegedly caused the client to incur damages. Consequently, the client sought compensation from Centaurus Financial Inc. or Fassi in the amount of $30,000 in this matter. The matter was denied on April 11, 2008.
Did you experience losses because of Terri Fassi? You should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Fassi and brokerage firms Fassi 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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