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.
BRION PATRICK HARRIS (BRION P HARRIS) is currently listed a broker with CETERA WEALTH SERVICES, LLC, of Annapolis, Maryland since 9/20/2019 and as an investment advisor since 6/29/2023 with CETERA INVESTMENT ADVISERS LLC of Annapolis, Maryland. Harris was previously listed with SUMMIT FINANCIAL GROUP INC of Annapolis, Maryland as an investment advisor from 10/16/2013 - 05/20/2021, and as a broker with SUMMIT BROKERAGE SERVICES INC of Annapolis, Maryland from 10/16/2013 - 09/20/2019.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRION P HARRIS has 26 years of experience in the securities industry and has been listed with 10 firms.
BRION P HARRIS has 10 disclosures on his FINRA CRD report, 2 are “Regulatory” disclosures, 1 is an “Employment Separation after Allegations,” and 7 are “Customer Disputes.” One dispute was denied and 6 have settled. The significance of BRION P HARRIS’ disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, BRION P HARRIS’ customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
Some of the settled “Customer Disputes” filed against BRION P HARRIS are listed below:
The most recent “Customer Dispute” is dated 10/17/2024. The allegations were “Claimants allege unsuitable investment recommendations which resulted in losses.” The settlement amount was $24,000.00.
Another dispute against BRION P HARRIS dated 1/30/2023 settled for $100,000.00 following these allegations, “Claimants allege they were recommended and overconcentrated in unsuitable investments.”
A “Customer Dispute” filed against Harris dated 12/22/2022 settled for $190,000.00 with allegations of, “Claimants allege they were recommended unsuitable investments.”
On 2/28/2011 a dispute against Harris was settled for $342,771.47 following the allegations of, “THE CLIENT ALLEGED THE REPRESENTATIVE DID NOT FULLY DISCLOSE THE DETAILS NOR PROVIDE A PROSPECTUS FOR THE SALE OF A VARIABLE ANNUITY PURCHASED IN NOVEMBER 2010. THE CLIENT ADDITIONALLY ALLEGED THE REPRESENTATIVE DID NOT DISCLOSE THE REIT PURCHASED IN NOVEMBER 2010 WAS ILLIQUID.” There is a Broker Comment listed.
One of the “Regulatory” disclosures filed by FINRA against BRION P HARRIS was dated 8/22/2013. This dispute fined Harris $5,000.00 and suspended him for one month.
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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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