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 may have incurred losses due to securities broker James Anthony Landeros (also known as James Landeros) [CRD: 6447130, Santa Barbara, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Landeros has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated since April 10, 2019, in a broker capacity, and since June 25, 2019, as an investment adviser. Below, you can find out more the recent disclosure involving James Landeros and his investment recommendations.
Evidently, a client of Merrill Lynch, Pierce, Fenner & Smith Incorporated contested James Landeros’s sales practices by filing FINRA Arbitration No. 25-00184 on February 28, 2025. Allegedly, in 2024, Landeros made unsuitable investment recommendations and misrepresented information about an options strategy. Allegedly, Landeros caused the client to sustain damages on options. Therefore, the client seeks compensation from Merrill Lynch or Landeros in this ongoing matter.
Misrepresentation relating to options strategies typically involves a broker providing false, misleading, or incomplete information to a client about the nature, risks, or expected returns of options investments. These strategies can be complex and risky, and if an adviser downplays risks or exaggerates potential returns, investors might make decisions based on inaccurate information. This can lead to significant financial losses, especially if the client does not fully understand the intricacies of options trading.
Do you need clarification on any investment losses relating to James Landeros? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery recovery. Soreide Law Group is experienced with recovering losses for clients throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Landeros and brokerage firms Landeros 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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