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.
UBS Financial Services Investors have come forward with complaints about securities broker William Word Huthnance [CRD #: 4326519, Houston, Texas]. Huthnance has been employed by UBS Financial Services since 2015. Specifically, UBS Financial Services clients allege that Huthnance made unsuitable recommendations and misrepresentations. For more on these disclosures about Huthnance, see below.
Evidently, on February 24, 2022, a UBS Financial Services client filed FINRA Arbitration #: 22-00402 about William Huthnance. Specifically, the client alleged that Huthnance made unsuitable recommendations and misrepresentations. For this reason, the client purportedly sustained damages. Therefore, the client requested $500,000 in compensation from UBS Financial Services or Huthnance. Evidently, this arbitration is pending a resolution.
Also, on February 10, 2022, a UBS Financial Services client filed FINRA Arbitration #: 22-00305 about William Huthnance. Specifically, the client alleged that Huthnance made unsuitable transactions and misrepresentations. Because of this, the client claims that they sustained damages. Therefore, the client requested $500,000 to $1,000,000 in compensation from UBS Financial Services or Huthnance. Evidently, this arbitration is pending a resolution.
Also, a client of UBS Financial Services contested William Huthnance's sales practices by filing FINRA Arbitration #: 22-00278 on February 8, 2022. Allegedly, Huthnance made misrepresentations and unsuitable transactions. Supposedly, Huthnance caused the client to sustain damages. Therefore, the client seeks compensatory relief from UBS Financial Services or Huthnance in the amount of $300,000 in this ongoing matter.
Evidently, a UBS Financial Services client filed FINRA Arbitration #: 20-01305 about William Huthnance. Specifically, the client alleged that Huthnance misrepresented information and provided unsuitable advice. For this reason, the client purportedly experienced damages relating to investments in structured notes and private equity funds. Therefore, on April 30, 2020, UBS Financial Services settled this matter by paying the client $580,000.
Have you experienced damages by investing with William Huthnance? If so, contact Soreide Law Group at (888) 760-6552 to speak with a securities attorney regarding a possible recovery of your investment damages. Notably, Soreide Law Group has successfully recovered money for hundreds of investors in all 50 states. The firm represents clients through a contingency fee arrangement and advances all costs. Huthnance and brokerage firms Huthnance associated with deny all allegations against them.
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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