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 potentially incurred losses because of securities broker Guy Anthony Harrigan [CRD: 1817525, Boulder, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrigan worked for Lion Street Financial LLC from October 6, 2016, to September 18, 2023, and Triad Advisors Inc. from April 1, 2013, to October 7, 2016. See the following information to find out more about the disclosures concerning this investment adviser and previously registered broker.
Particularly, on July 1, 2025, a Triad Advisors Inc. client filed FINRA Arbitration No. 25-01330 about Guy Harrigan. Primarily, the client alleged that Harrigan made unsuitable recommendations related to the sale of alternative investments. For this reason, the investor allegedly incurred damages. Therefore, the client requested $123,000 in compensation from Triad Advisors Inc. or Harrigan. It appears that this arbitration is pending a resolution.
Specifically, a client of Triad Advisors LLC disputed Guy Harrigan’s sales practices by filing FINRA Arbitration No. 23-01120. Allegedly, Harrigan gave unsuitable advice about alternative investments. It appears that Harrigan caused the client to sustain damages. As a result, Triad Advisors LLC opted to settle the matter on March 28, 2024, by compensating the client in the amount of $180,000.
Did you experience losses because of Guy Harrigan? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Harrigan and brokerage firms Harrigan worked for deny 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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