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.
AARON PIERCE SEVIGNY (AARON P SEVIGNY) has been registered, since 2006, both as a broker and an investment advisor with UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER in Bonita Springs, Florida.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, AARON P SEVIGNY has been in the securities industry for 22 years and has been listed with 4 firms. Sevigny has 3 disclosures on his FINRA CRD report. All 3 disclosures are “Customer Disputes.” The significance of Sevigny’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, AARON P SEVIGNY’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
There was a “Customer Dispute” dated 1/28/2021, filed against AARON P SEVIGNY. This dispute settled for $25,000.00. The allegations were, “Claimant alleges breach of fiduciary duty, failure to supervise and unsuitability.”
On 5/5/2021 another dispute filed against Sevigny settled for $49,500.00, following the allegations of, “Claimant alleges breach of fiduciary duty, breach of contract negligence and negligent supervision.”
The third “Customer Dispute” filed against AARON P SEVIGNY was dated 7/23/2021. This dispute settled for $102,600.00. The allegations were, “Unsuitability, common law fraud, breach of contract, breach of fiduciary duty, negligence, aiding and abetting fraud and violation of Florida Securities Act.”
FINRA Rule 2111 requires that a broker/dealers or associated person "have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer's investment profile." This would include the customer's age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs and risk tolerance.
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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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