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.
James Ryan Parascandola (James R Parascandola) was recently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of July 21, 2025. Parascandola was last registered as a broker with PRUCO SECURITIES LLC of East Brunswick, New Jersey from 05/16/2022 - 05/21/2024. Before PRUCO, he was with EQUITABLE ADVISORS LLC of Wall, New Jersey from 2/09/2020 - 05/18/2022. Parascandola was with EDWARD JONES of Middletown, New Jersey from 03/30/2019 - 12/09/2020.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, James R Parascandola was in the securities industry for 6 years and was listed with 5 firms. Parascandola has 5 disclosures on his FINRA CRD report. The “Regulatory” disclosure dated 4/17/2025 permanently barred him from the industry. According to BrokerCheck, the allegation was, “Respondent Parascandola failed to respond to FINRA requests for information.”
There are three “Customer Disputes” and one “Employment Separation after Allegations,” dated 5/7/2024 discharging James R Parascandola from PRUCO SECURITIES, LLC. The allegations were, “In violation of Company policies, Registered Representative charged and received an unapproved fee, traded with discretion in clients' Brokerage accounts, was named as an executor to a client's will without requesting and receiving prior approval from the Company, and also attempted to secure a Power of Attorney without disclosure to or approval by the Company.”
Two of the “Customer Disputes” filed against James R Parascandola settled, and one was denied. A dispute dated 6/17/2022 settled for $197,132.00 following allegations of “Client alleges their portfolio was unsuitable, and that the RR excessively traded within their brokerage account in 2021.” The other settled dispute is dated 4/18/2024 settled for $6,366.86 with allegations of, “Customer alleges that the rep did not fully disclose all the facts regarding unauthorized transactions related to her accounts and that the Rep opened a GoFundme account on her behalf but she did not receive all of the funds that were raised.” There are "Broker Comments" listed on the BrokerCheck report for both disputes denying the allegations.
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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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