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.
FINRA expelled securities broker Roger Albert Taft Gallagher [CRD: 5513745, Purchase, New York], according to disclosures on FINRA BrokerCheck. Evidently, Gallagher worked for Morgan Stanley from December 14, 2012 to September 6, 2024. Keep reading to learn more about the disclosures concerning Gallagher.
Evidently, on February 19, 2025, FINRA issued Case: 2024083816801 sanctioning Roger Gallagher. Notably, FINRA alleged that Gallagher failed to cooperate with an investigation by refusing to provide documents and information and by declining to appear for on-the-record testimony.
FINRA initiated regulatory proceedings against Roger Gallagher on February 19, 2025. Gallagher, who was previously registered as a General Securities Representative with Morgan Stanley until his termination on September 6, 2024, submitted a Letter of Acceptance, Waiver, and Consent (AWC) to resolve the matter.
The case stemmed from a tip received by FINRA regarding a criminal indictment involving Gallagher. As part of its investigation, FINRA sent Gallagher requests on January 10 and 13, 2025, seeking documents, information, and on-the-record testimony pursuant to FINRA Rule 8210. Gallagher acknowledged receipt of these requests through his lawyer but informed FINRA that he would not comply.
By failing to cooperate, Gallagher violated FINRA Rule 8210, which mandates that individuals subject to FINRA’s jurisdiction must provide requested information or testimony during investigations. His refusal to comply also constituted a violation of FINRA Rule 2010, which requires adherence to high standards of commercial honor.
Gallagher’s tenure at Morgan Stanley ended when the firm filed a Form U5 stating that his registration was terminated because of concerns about his involvement in undisclosed outside financial arrangements with a potential third-party.
As a result of his refusal to comply with the investigation, FINRA imposed a permanent bar on Gallagher from associating with any FINRA member firm in any capacity. Gallagher agreed to this resolution without admitting or denying the findings, and the AWC became effective upon FINRA's acceptance on February 19, 2025.
Also, on March 10, 2021, a Morgan Stanley client filed a complaint about Roger Gallagher. The client alleged that Gallagher made misrepresentations concerning a recommendation to sell shares. Because of this, the client allegedly sustained damages on stocks. As a result, the client requested damages from Morgan Stanley or Gallagher. However, the firm denied the complaint.
Do you have questions about investing through Roger Gallagher? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer. Soreide Law Group has recovered losses for investors throughout the US, works on a contingency fee basis, and advances all costs. Gallagher and brokerage firms Gallagher 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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