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 complained about securities broker Edward Joseph Rudiger Jr. (CRD: 2118724, New York, New York). Notably, the securities broker, who worked for Reid Rudiger LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Reid Rudiger LLC clients allege that Rudiger made unsuitable recommendations, engaged in unauthorized trading, and committed other sales practice violations. For more on these disclosures about Rudiger, see below.
Evidently, on December 2, 2022, a Reid Rudiger LLC client filed FINRA Arbitration: 22-02700 about Edward Rudiger Namely, the client alleged that Rudiger gave unsuitable advice, engaged in unauthorized trading, engaged in excessive trading, and charged excessive commissions. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested compensation from Reid Rudiger LLC or Rudiger. Evidently, this arbitration is pending a resolution.
Also, on August 8, 2022, a Reid Rudiger LLC client filed a complaint about Edward Rudiger. Namely, the client alleged that Rudiger charged excessive commissions and engaged in unauthorized trading. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested compensation from Reid Rudiger LLC or Rudiger. However, the securities firm denied this complaint.
Additionally, on May 18, 2020, a Reid Rudiger LLC client filed a complaint about Edward Rudiger. Namely, the client alleged that Rudiger engaged in unauthorized trading. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested compensation from Reid Rudiger LLC or Rudiger. However, the securities firm denied this complaint.
Also, a client of Reid Rudiger LLC contested Edward Rudiger’s sales practices by filing FINRA Arbitration: 19-01541. Allegedly, Rudiger made misrepresentations, acted unethically, breached a contract, was negligent, breached a fiduciary duty, violated state laws, and failed to supervise registered representatives. It appears that Rudiger possibly caused the client to sustain damages. Therefore, FINRA Arbitrators issued an Award dated December 17, 2019 compelling Reid Rudiger LLC and Rudiger to collectively compensate the client in the amount of $98,666 in compensatory damages.
Specifically, a Reid Rudiger LLC client filed Civil Suit: 1:12 CV 00551 about Edward Rudiger Namely, the client alleged that Rudiger recommended investments that defaulted. Because of this, the client allegedly sustained damages on promissory notes. Therefore, on January 31, 2013, Reid Rudiger LLC settled this matter by paying the client $700,000 in damages.
Also, a client of Reid Rudiger LLC contested Edward Rudiger’s sales practices by filing FINRA Arbitration: 09-07130. Allegedly, Rudiger recommended investments that defaulted. It appears that Rudiger possibly caused the client to sustain damages on promissory notes. Therefore, Reid Rudiger LLC opted to settle the matter on January 3, 2011, by compensating the client in the amount of $294,293.
Have you sustained damages due to the actions of Edward Rudiger? If you have, then reach out to Soreide Law Group at (888) 760-6552 and speak with an investment lawyer regarding a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Rudiger and brokerage firms Rudiger worked for deny any and all allegations 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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