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.
ROBERT ALLEN MOORE JR (ROBERT A MOORE) has been registered as a broker with J. ALDEN ASSOCIATES, INC. of Wayne, Pennsylvania, since 7/6/2022 and as an investment advisor with PINE VALLEY INVESTMENTS of Marlton, New Jersey since 4/1/2016.
According to BrokerCheck, available to the public on FINRA’s website, ROBERT A MOORE has 24 years of experience in the securities industry and has been listed with 7 firms. Moore has 2 disclosures on his FINRA CRD report, both are “Customer Disputes,” one has settled and one is pending.
There is a pending “Customer Dispute” filed against ROBERT A MOORE dated 8/22/2025. The allegations are, “Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Robert Moore in July 2021 to invest in Spring Hills Holdings.” The damage amount requested is $900,000.00.
There is a FINRA arbitration claim filed against Purshe Kaplan Sterling Investments (PKSI) (Case No. 25‑01742) on behalf of a group of retired investors seeking to recover $900,000.00 in damages. The claim alleges that the investors relied on their financial advisor, ROBERT A MOORE and PKSI to recommend safe, suitable investments through their retirement. Moore allegedly solicited investors to purchase Spring Hills Holdings, an alternative, illiquid private placement. ROBERT A MOORE was registered as a broker with Purshe Kaplan Sterling Investments of Marlton, New Jersey from 10/10/2016 - 06/02/2022, according to BrokerCheck.
According to the lawsuit, Purshe Kaplan Sterling Investments and their former broker ROBERT A MOORE allegedly represented Spring Hills Holdings as a conservative fixed-income investment that would pay monthly income for five years, followed by the return of principal plus a 10% bonus. Unfortunately, Spring Hills Holdings stopped paying monthly distributions in December 2021.
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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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