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.
Investors apparently complained about securities broker John Thomas Hardiman [CRD: 2089333, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hardiman has been registered with Janney Montgomery Scott LLC since August 30, 2017, working there as both a broker and investment adviser. Read below to discover more about his disclosures.
Notably, on August 18, 2025, a Janney Montgomery Scott LLC client filed FINRA Arbitration No. 25-01712 about John Hardiman. Mainly, the client alleged that Hardiman made unsuitable recommendations. For this reason, the client allegedly experienced damages on mutual funds. Consequently, the client requested $660,000 in compensation from Janney Montgomery Scott LLC or Hardiman. It appears that this arbitration is awaiting a resolution.
Specifically, a client of Merrill Lynch Pierce Fenner Smith Incorporated contested John Hardiman’s sales practices, according to a complaint dated July 2, 2013. Allegedly, Hardiman engaged in unauthorized trading. It appears that Hardiman allegedly caused the client to sustain damages relating to mutual funds. As a result, the client sought compensation from Merrill Lynch Pierce Fenner Smith Incorporated or Hardiman in this matter. The client withdrew this complaint.
Did you suffer any investment-related losses because of John Hardiman? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Hardiman and brokerage firms Hardiman 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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