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.
Soreide Law Group is currently investigating claims against broker, Jason Walsh, currently with PHX Financial, Inc. of Hauppauge, New York. According to FINRA’s BrokerCheck there is a “Customer Dispute” alleging damages of $3,767,261.79. Walsh was previously listed with Network 1 Financial Securities also of Hauppauge, New York.
Jason Walsh’s BrokerCheck CRD report lists 4 Disclosures. Three of the disclosures are “Customer Disputes,” one was denied, one has settled, and one is pending, requesting $3,767,261.79 in damages. The allegations are, “Breach of Fiduciary Duty, December 2012 through October 2022.”
According to the Financial Industry Regulatory Authority’s (FINRA) Broker Check, available to the public on FINRA’s website, Jason Walsh has 13 years of experience in the securities industry and has been listed with 7 firms. Walsh has been a broker with PHX Financial, Inc. of Hauppauge, New York since June 3, 2022. He was previously registered with Network 1 Financial Securities of Hauppauge, New York (05/12/2020 - 05/25/2022), Joseph Gunnar & Company Melville, New York (01/07/2020 - 05/12/2020), National Securities Corporation Melville, New York (02/01/2016 - 01/15/2020), Joseph Gunnar & Company Melville, New York (04/17/2012 - 02/05/2016), Obsidian Financial Group of Woodbury, New York (10/18/2011 - 05/03/2012), John Thomas Financial in Hauppauge, New York (11/22/2010 - 10/20/2011), and First Midwest Securities of Smithtown, New York (04/15/2010 - 11/12/2010).
Soreide Law Group represents investors nationwide before FINRA on a contingency fee, no fee to you if no recovery. Broker/dealers and Financial Advisors have a duty to their clients to recommend suitable investments. They are required to perform due diligence for their clients on investments they recommend.
If you or a family member have experienced investment losses due to the actions or recommendations of the PHX Financial, Inc. of Hauppauge, New York, broker, Jason Walsh, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]