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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bradley Scot Frisk (also known as Bradley S. Frisk) [CRD: 5957389, Sacramento, California]. Evidently, Frisk has been registered with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. since June 30, 2023.
Notably, recent disclosures reveal concerns about Frisk’s conduct, including allegations of unauthorized investments and unsuitable financial recommendations.
Evidently, on March 14, 2024, a client dispute was filed against Bradley Frisk regarding his time at Wells Fargo Advisors. The clients allege that in February 2022, Frisk recommended that they take out a loan through their investment account to pay off a building mortgage. Additionally, he is accused of making poor investment choices, which led to financial losses. The dispute also includes allegations that he invested client funds without authorization and advised using a loan against securities, resulting in further losses.
The case is currently pending arbitration under FINRA Arbitration No. 24-00417, with the clients seeking an unspecified amount in compensatory damages.
Also, on March 10, 2020, a client filed a complaint against Frisk while he was employed at Wells Fargo Advisors. The client alleged that Frisk failed to disclose that her account was subject to market risk. However, the complaint, which related to wrap accounts, was denied by the firm on April 16, 2020, and no compensation was awarded to the client.
Bradley Frisk has over a decade of experience in the securities industry. Before joining Raymond James Financial Services Inc., he worked at Wells Fargo Clearing Services LLC (2017–2023), J.P. Morgan Securities LLC (2015–2017), and Morgan Stanley (2014–2015).
Looking for more information about Bradley Frisk? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. The firm assists investors across the country with recovering losses from sales practice misconduct. Specifically, the team at Soreide Law Group works on a contingency basis and advances all costs. Frisk and the firms he worked for deny accusations 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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