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 might have sustained losses due to securities broker Carroll Mac Wilson Jr. [CRD: 2777324, Beverly Hills, California], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson was employed by U.S. Bancorp Investments Inc. from May 18, 2005, to August 25, 2022. Continue reading to learn more about the disclosures involving Carroll Wilson.
Specifically, on November 7, 2023, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Supposedly, Wilson did not sell the investment as instructed in November. Because of this, the client allegedly sustained damages on mutual funds. Because of this, the client requested $26,916.17 in compensation from U.S. Bancorp Investments Inc. or Wilson.
Also, on March 29, 2023, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Evidently, the client alleged that Wilson failed to follow his instructions on January 7, 2022. Therefore, the client allegedly incurred damages on mutual funds. Consequently, the client requested $12,090.69 in compensation from U.S. Bancorp Investments Inc. or Wilson. However, the firm denied this complaint.
Specifically, on August 3, 2009, a U.S. Bancorp Investments Inc. client filed a complaint about Carroll Wilson. Evidently, the client alleged that Wilson recommended an investment that was unsuitable for their circumstances. Because of this, the client allegedly sustained damages on variable annuities. Consequently, the client requested $48,413.62 in compensation from U.S. Bancorp Investments Inc. or Wilson. However, the securities firm denied this complaint.
Did you experience losses because of Carroll Wilson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Wilson and the brokerage 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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