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.
Investors have come forward with complaints about Brandon Leon [CRD: 5200595, New York, New York]. Notably, the securities broker, who worked for National Securities Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Leon, which include alleged unsuitable recommendations, see below. The broker denies the claims.
Particularly, a client of National Securities Corporation contested Brandon Leon’s sales practices by filing FINRA Arbitration: 22-01636 on July 22, 2022. Allegedly, Leon made unsuitable recommendations. It appears that Leon caused the client to sustain damages on private placements. Therefore, the client seeks compensatory relief from National Securities Corporation or Leon in the amount of $336,700 in this ongoing matter.
Additionally, on March 6, 2017, a National Securities Corporation client filed a complaint about Brandon Leon. Namely, the client alleged that Leon was negligent, engaged in unauthorized trading, made unsuitable recommendations, and breached a fiduciary duty. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested $200,000 in compensation from National Securities Corporation or Leon. Evidently, the client withdrew this complaint.
Brandon Leon worked for National Securities Corporation as a securities broker from March 2010 to June 2022. He has worked with PHX Financial Inc. as a securities broker since June 2022.
Have you experienced damages through Brandon Leon? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, a firm that has recovered money for investors in all 50 states, works on a contingency fee basis and advances all costs. Leon and brokerage firms Leon 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]