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.
One or more investors potentially experienced sales practice violations due to securities broker John Larsen [CRD: 2700922, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Larsen worked with Raymond James & Associates Inc. from October 11, 2013, to May 24, 2021. He currently works with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. as of May 24, 2021. Read on to learn more about the disclosures involving John Larsen and the nature of the allegations reported.
Notably, on March 21, 2025, a Raymond James Financial Services Inc. client filed a complaint about John Larsen. Mainly, the client alleged that Larsen engaged in unauthorized trading. Allegedly, the broker’s transactions were not consistent with the client’s stated risk tolerance. Because of this, the client allegedly sustained damages on stocks. Consequently, the client requested $3,000,000 in compensation from Raymond James Financial Services Inc. or Larsen.
Notably, on September 5, 2013, Edward Jones disaffiliated with Larsen. Mainly, Edward Jones alleged that Larsen received firm documents signed in blank and transferred funds without prior authorization. Edward Jones further alleged that Larsen violated firm policy by introducing clients to one another for a business venture.
Are you concerned regarding investments you made with John Larsen? If so, you should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your losses. Soreide Law Group has recovered losses for clients throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Larsen and brokerage firms Larsen 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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