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.
The Financial Industry Regulatory Authority (FINRA) BrokerCheck relays important information in regard to securities broker Bradford Bugher “Brad Bugher” (CRD#: 2314651, Wilmington, Delaware). It appears that the disclosures involving Bugher concern his employment as a financial advisor and securities broker of Merrill Lynch (his employer since 1993). Let’s take a closer look at the allegations of misrepresentation and failure to follow instructions as reported on BrokerCheck. However, be mindful that the securities broker denies committing any unreasonable sales practices.
Notably, a client of Merrill Lynch contested Brad Bugher’s sales practices, according to a November 2021 arbitration claim. Namely, the client claims that Bugher did not follow their instructions between November and December 2018. Supposedly, this resulted in damages on stock trades. For this reason, the client asks for compensation in this ongoing investment dispute.
Also, in September 2018, a client of Merrill Lynch took aim at Brad Bugher’s sales practices relating to a variable annuity. Supposedly, Bugher misrepresented important information regarding the annuity. Supposedly, the client experienced damages by investing in this product. Because of this, the client sought compensation. However, Merrill Lynch denied the client’s allegations and request for compensation.
Did you realize losses because of securities broker Bugher? You can contact Soreide Law Group at (888) 760-6552 to speak with a helpful securities attorney about possibly recovering your losses. Soreide Law Group represents investor clients on a contingency fee basis and advances all costs. The firm has recovered considerable compensation for a lot of investors who have incurred damages from securities brokers and financial advisors. Please note that Bugher denies all accusations of inappropriate sales practices.
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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