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 is investigating possible investor claims against William Novack (also known as Bill Novack) (CRD: 1181334, Monticello, Indiana). Evidently, FINRA sanctioned the securities broker, who worked for CFD Investments Inc. and Cambridge Investment Research Inc. Allegedly, Novack failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is a brief summary of FINRA’s allegations against Novack.
Notably, on March 24, 2021, FINRA issued Case: 2019061887702, sanctioning William Novack for infractions. Namely, FINRA alleged that Novack failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Supposedly, the investigation initially concerned CFD’s termination of a different securities broker who the firm believed had enabled a barred person to do securities business. Novack did not cooperate with the investigation. For this reason, Novack was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities.
Evidently, on January 25, 2021, CFD Investments Inc. disaffiliated with Novack because of issues relating to the FINRA disciplinary action.
Incurred damages through investing with William Novack? You should contact Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the country, represents investors like you on a contingency fee basis and advances all costs. Novack and brokerage firms Novack 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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