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 looking into possible investor claims against securities broker Joan Ella Burgio (also known as Joanie Burgio) (CRD: 5397635, Chevy Chase, Maryland). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Burgio engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Burgio.
Particularly, FINRA issued Case: 2021072641301 on November 15, 2022, sanctioning Joan Burgio for infractions. Allegedly, Burgio engaged in an undisclosed outside business activity involving a private investment firm. Therefore, Burgio agreed to pay a $3,500 fine and serve a 60-day suspension as securities broker.
Did you suffer damages due to the actions of Joan Burgio? If you have, then contact Soreide Law Group at (888) 760-6552 and speak with an investment lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Burgio and brokerage firms Burgio worked for deny any and all 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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