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 investigating possible investor claims against securities broker Bruce C. Amman [CRD: 2130243, Denver, Colorado]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Amman engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Amman.
Particularly, on April 20, 2022, FINRA issued Case: 2020067292901, which contains sanctions against Bruce Amman for infractions. Specifically, Amman was fined and suspended. Mainly, FINRA alleged that Amman engaged in private securities transactions.
Namely, FINRA says that between April 2018 and May 2019, during the time that he was associated with LPL Financial LLC, Amman participated in a private securities transaction without giving LPL Financial LLC prior written notice. Specifically, in April 2018, Amman introduced a firm client to a third party for the purpose of selling an interest in a limited partnership. Amman also falsely stated to LPL Financial LLC that he had not participated in any private transactions. Consequently, Amman violated FINRA Rules 2010 and 3280.
Specifically, on June 19, 2020, LPL Financial LLC terminated the registration of Amman. Notably, LPL Financial LLC alleged that Amman engaged in short-term mutual fund switches.
Amman worked for LPL Financial LLC in Golden, CO, as a securities broker from September of 2008 to July of 2020.
Did you sustain damages because of Bruce Amman? If so, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer concerning the potential recovery of your investment losses or other damages. Soreide Law Group, who has effectively recovered money for many investors throughout the United States, represents clients on a contingency fee basis and advances costs. Amman and brokerage firms Amman 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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