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 presently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of John Dougherty (also known as Jack Aloysius Dougherty) (CRD: 3018615, Blue Bell, Pennsylvania). Specifically, Dougherty was affiliated with LPL Financial LLC from January 4, 2021, to August 11, 2023, and with Wells Fargo Clearing Services, LLC from April 26, 2013, to January 13, 2021, in Collegeville, Pennsylvania. Notably, LPL Financial LLC disaffiliated with Dougherty on July 17, 2023, for alleged misconduct. Additionally, an investor has accused Dougherty of recommending an unsuitable wealth management strategy.
Evidently, on July 17, 2023, LPL Financial LLC disaffiliated with Dougherty. Specifically, LPL Financial LLC alleged that Dougherty engaged in outside business activity and participated in private investments without firm approval.
Moreover, on January 19, 2023, an LPL Financial LLC client filed a civil suit: 2023-CP-40-00242 against John Dougherty. Namely, the client alleged that Dougherty recommended a wealth management strategy unsuitable for his investment objectives and risk tolerance, leading to alleged losses. The investments in question were asset-backed debt products, equities, and other private placements. As a result, the client seeks compensation. This civil suit is currently pending in a South Carolina Court. However, Dougherty denies any wrongdoing, asserting the allegations are without merit and vowing to defend the matter.
Did you experience losses because of John Dougherty? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Dougherty and brokerage firms he worked for deny accusations 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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