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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jonathan Micheal Gervaise [CRD: 5492872, Radnor, Pennsylvania]. Gervaise worked for Lincoln Financial Distributors Inc. from September 9, 2019, to April 1, 2022, and also worked for Pruco Securities LLC and Jackson National Life Distributors LLC in the years following. His recent history, however, includes a permanent bar from FINRA. Keep reading to learn about the allegations and regulatory actions that led to this outcome.
On May 2, 2024, FINRA permanently barred Jonathan Gervaise for failing to respond to regulatory requests. FINRA initiated Case No. 2023037892501, inquiring into Gervaise’s activities while he worked for Lincoln Financial Distributors Inc. Gervaise supposedly failed to address this. As a result, FINRA issued a Notice of Suspension on January 29, 2024, and a Suspension from Association letter on February 22, 2024. Under FINRA Rule 9552(h), Gervaise had three months to comply with the suspension terms, but he did not, leading to his permanent bar.
A separate disclosure on FINRA BrokerCheck shows that on September 28, 2020, a client of Lincoln Financial Distributors made a complaint about Jonathan Gervaise. The client alleged that Gervaise failed to explain the tax consequences of variable annuity withdrawals. The client asked for $6,000 in damages. However, the complaint was ultimately closed without any further action being taken.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney regarding Jonathan Gervaise or the firms he worked for. Gervaise and these brokerage firms deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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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