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 reviewing investor complaints concerning securities broker John Belk Daughtridge “Belk Daughtridge” (CRD#: 2735851, Mount Pleasant, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Daughtridge worked for Citigroup Global Markets, Morgan Stanley, and Raymond James & Associates. Read further to learn more about the allegations of unauthorized trading and other sales practice violations as reported on BrokerCheck. However, be mindful that the securities broker denies alleged improper sales practices.
Notably, FINRA BrokerCheck shows that a Morgan Stanley client objected to Belk Daughtridge’s sales practices by making an investment dispute in October 2020. Supposedly, Daughtridge engaged in unauthorized trading, resulting in damages to a client’s money manager account. Because of this, the securities firm opted to settle this matter by virtue of payment to the client in the amount of $15,000, according to a settlement in June 2021.
Also, it appears that Raymond James “discharged” Daughtridge in February 2018. Supposedly, he violated firm policy by circulating unapproved research to someone who was not a firm client.
Evidently, a client of Raymond James & Associates contested Belk Daughtridge’s sales practices by bringing an investment dispute in July 2016. Mainly, the investor alleges unauthorized trading and “misappropriation.” Notably, Daughtridge purportedly caused the client to face damages via his actions relating to mutual funds. It appears that in September 2016, after reviewing the allegations, Raymond James & Associates denied the dispute and the client’s request for compensation.
Moreover, a Citigroup Global Markets Inc. client decided to lodge a dispute about Belk Daughtridge’s and the securities firm’s sales practices. Supposedly, the client experienced damages stemming from Daughtridge’s improper sales practices concerning variable annuity products. Allegedly, the securities broker caused an unauthorized surrender of the client’s annuity. However, it seems that this matter closed without resolution.
Apparently, securities broker Belk Daughtridge denies allegations of unreasonable sales practices. Have you experienced investment losses by interacting with this broker? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery. We take cases by a contingency fee arrangement and advance all costs. The law firm has recovered substantial compensation for US clients who have experienced losses from their securities brokers and 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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