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 examining an investor dispute concerning securities broker Allyson William Trantum aka Allyson Jo Wilson (CRD#: 2896970, Temecula, California), as disclosed on FINRA BrokerCheck. Particularly, Trantum, who works for securities firm JW Cole Financial Inc. and investment advisory JW Cole Advisors Inc., is involved in an investor dispute about the surrender of an annuity. Additionally, her former employer LPL Financial LLC permitted her to resign. Read the following summary of disclosures as reported on BrokerCheck for more information on the allegations against this securities broker.
Evidently, a client of JW Cole Financial Inc. contested Allyson Trantum’s sales practices by bringing an investment dispute in March 2021. Supposedly, the client realized damages because of an annuity surrender. It appears that by surrendering the annuity, the client lost a lifetime income guarantee. Therefore, to settle this matter without admitting liability, the securities firm agreed to compensate the client in the amount of $400,000 in March 2022.
Also, BrokerCheck shows that Trantum worked as a securities broker and financial advisor with LPL Financial LLC. She commenced employment in 2016. But in 2018, the firm permitted her to resign after she allegedly violated policy. Supposedly, Trantum shared a client’s information without authorization.
Apparently, securities broker Allyson Trantum denies allegations against her. Have you experienced investment losses by interacting with this broker? You could reach out to Soreide Law Group at (888) 760-6552 so you can speak with experienced counsel concerning a possible recovery. Soreide Law Group takes clients’ cases on a contingency fee basis and advances all costs. The law firm has recovered significant compensation for US clients who have experienced losses from securities brokers or financial advisors.
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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