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.
The Financial Industry Regulatory Authority (FINRA) contains current information on disputes involving securities broker Gregory Cline Collier Sr. (Gregory Cline) (CRD#: 1408843, Mount Dora, Florida). Evidently, the securities broker worked for Raymond James Financial Services (April 2005 – present) as securities broker, and Raymond James Financial Services Advisors Inc. (April 2009 – present) as financial advisor. BrokerCheck shows that two Raymond James investors filed disputes about Collier. Here’s more on these disclosures.
Specifically, a client of Raymond James Financial Services disputed Collier’s sales practices through bringing a FINRA Arbitration Claim in December 2019. Mainly, the client alleges that Collier engaged in unauthorized trading between February 2018 and December 2018. Because of this, it appears that the client experienced damages. As a result, Raymond James Financial Services opted to settle this matter in December 2020 through agreeing to pay the client $200,000.
It appears that a second Raymond James Financial Services client came forward with a dispute about Collier’s sales practices. In this July 2019 complaint, the client first contends that Collier poorly managed their portfolio. Secondly, they allege unsuitable investments, including mutual funds. However, Raymond James Financial Services denied the complaint in October 2019.
Did securities broker Gregory Collier cause you to suffer losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer regarding a possible recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has helped many United States investors recover compensation when they have incurred losses by their financial advisors and securities brokers. Please note that Collier denies all allegations by Raymond James clients.
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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