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 has filed a FINRA arbitration on behalf of our client (Claimant) against EDWARD JONES (Respondent).
The Claimant resides in Louisiana and has maintained her investment accounts through Edward Jones with financial advisor, Tyler Gugliuzza. The lawsuit alleges that the Respondent understood that the Claimant is planning on retiring in 2023. Edward Jones’ representative, Tyler Gugliuzza, is not named in this lawsuit.
The lawsuit alleges that in early 2022, the Claimant asked financial advisor, Tyler Gugliuzza, to move her investments to more conservative holdings. According to the lawsuit, Tyler Gugliuzza, allegedly refused to follow the Claimant’s orders and did not change the Claimant’s investments. Allegedly, the Claimant met with Tyler Gugliuzza several more times as her portfolio declined. According to the lawsuit, the Edward Jones financial advisor was steadfast in refusing to make investment changes, and the lawsuit alleges that her accounts have declined by approximately $110,000 since the Claimant’s order to move the account to conservative investments was refused.
The lawsuit alleges that the Claimant suffered losses of $110,000. The Respondent’s actions in this case, according to the lawsuit, constitute: negligence, breach of fiduciary duty, and failure to supervise.
According to FINRA’s BrokerCheck, Tyler Gugliuzza, has been listed in the securities industry both as a broker and a financial advisor for 12 years and has only been listed with:
EDWARD JONES
136 TERRA BELLA BLVD STE A
Covington, LA 70433
If you’ve experienced losses due to the actions or recommendations of Edward Jones and/or their registered representative, Tyler Gugliuzza of Covington, Louisiana, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency basis, no fee to you if no recovery.
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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