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 Bryce Austin Hamilton (also known as Bryce Hamilton) [CRD: 4296113, Cornelius, North Carolina].
Bryce Hamilton worked for several prominent firms, including LPL Financial LLC from July 2024 to October 2024, and CliftonLarsonAllen Wealth Advisors, LLC from November 2023 to May 2024. His 22-year securities career includes employment at 12 firms.
Recent disclosures detail allegations against Hamilton, focusing on unsuitable investment recommendations and failure to disclose arbitration matters in a timely manner. Here is a closer look at the allegations against the broker.
On July 30, 2024, a client of Forta Financial Group, Kingswood Capital Partners, and Financial Gravity Family Office Services, LLC filed a FINRA arbitration claim (Case No. 24-00488). The client alleges that Hamilton recommended unsuitable private placement investments in 2021. Damages sought total $300,000.
Hamilton denies these allegations, asserting that all recommendations were suitable, consistent with the client’s investment objectives and risk tolerance, and that the client fully understood the risks after discussions and review of documentation. The arbitration remains pending.
On September 27, 2024, Hamilton voluntarily resigned from LPL Financial LLC. The firm alleges that he failed to notify them of the pending arbitration matter involving unsuitable investment recommendations. No specific products were mentioned in the termination disclosure.
Looking for more information about Bryce Hamilton? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Hamilton 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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