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 potentially experienced sales practice violations by securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Micera worked for RBC Capital Markets LLC beginning on March 9, 2002, as a broker and since April 29, 2002, as an investment adviser. Investors should continue reviewing the information below to learn more about the disclosures involving Micera’s securities-related activities.
Specifically, an RBC Capital Markets LLC client filed FINRA Arbitration No. 24-00534 about John Micera. Mainly, the client alleged that Micera made unsuitable recommendations. For this reason, the client allegedly incurred damages connected to structured notes. Therefore, on June 18, 2025, RBC Capital Markets LLC settled this matter by paying the client $275,000 in damages.
Notably, a client of RBC Dain Rauscher contested John Micera’s sales practices, according to a complaint dated May 20, 2004. Allegedly, Micera made unsuitable recommendations. It appears that Micera allegedly caused the client to experience damages relating to mutual funds, stocks, and unit investment trusts. As a result, the client sought compensation from RBC Dain Rauscher or Micera. However, the firm denied this complaint.
Did you experience losses because of John Micera? Contact Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Micera and brokerage firms Micera 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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