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 Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the following information to find out more the disclosures involving Congelosi’s conduct and investor complaints regarding his sales of variable annuities.
Notably, on April 28, 2025, an MML Investors Services LLC client filed a complaint about Raymond Congelosi. Allegedly, Congelosi made unsuitable recommendations. Because of this, the client allegedly sustained damages on variable annuities. As a result, the client requested $11,000.00 in compensation from MML Investors Services LLC or Congelosi.
Evidently, a client of New England Securities contested Raymond Congelosi’s sales practices by filing FINRA Arbitration No. 11-00250. Allegedly, Congelosi made omissions with respect to withdrawals from a variable annuity. Supposedly, Congelosi caused the client to sustain damages. Therefore, New England Securities opted to settle the matter on December 7, 2011, by compensating the client in the amount of $23,000.00.
Do you have concerns or questions regarding investments you made with Raymond Congelosi? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Congelosi and the firms Congelosi worked for deny allegations 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]