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.
Jermaine K Benjamin (Jermaine Kahlil Benjamin) was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm on June 7, 2023. Benjamin was previously registered both as a broker and as an investment advisor.
According to the FINRA report, without admitting or denying FINRA’s findings, Jermaine K Benjamin consented to the sanction and to the entry of findings that he allegedly refused to provide documents and information requested by FINRA in connection with its investigation of the circumstances giving rise to an amended Form U5 filed by his member firm.
FINRA’s findings stated that the amended Form U5 disclosed that the firm had received a written customer complaint alleging unauthorized transactions and misappropriation/defalcation by Jermaine K Benjamin while he was associated with the firm.
According to FINRA’s BrokerCheck, Jermaine K Benjamin, had been in the securities industry for 9 years and was listed with 2 firms. Benjamin was previously registered with Raymond James Financial Services, Inc., of St. Petersburg, Florida from 07/29/2020 to 04/12/2022. Before Raymond James, he was registered with Pruco Securities, LLC, of Tampa, Florida, from 02/01/2013 - 07/02/2020.
Jermaine K Benjamin has 2 disclosures on his FINRA CRD report. One disclosure is the “Regulatory” barring Benjamin from the securities industry and the other disclosure is a “Customer Dispute” that was denied.
If you’ve suffered financial losses due to the actions or recommendations of the former Raymond James of St. Petersburg or Pruco Securities of Tampa, Florida, broker/financial advisor, Jermaine K Benjamin, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
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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