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 Ronald G. Smith (also known as Ron Smith) [CRD: 6038062, Stamford, Connecticut]. In 2024, Smith joined Sanford C. Bernstein Co. LLC and Alliance Bernstein LP. He worked for Spartan Capital Securities LLC from July 1, 2013, to December 26, 2023. Investors filed claims about Smith, raising concerns about misrepresentations, unauthorized trading, and other alleged misconduct. Keep reading to learn more about the allegations about Smith and his history of client disputes.
On February 22, 2024, a client of Spartan Capital Securities LLC filed FINRA Arbitration No. 24-00400, accusing Ronald Smith of misrepresentations, nondisclosures of material facts, unauthorized trading, unsuitable recommendations, failure to act in the client’s best interest, negligent supervision, and breach of fiduciary duties. The allegations are connected to the sale of private placements, and the client is seeking $250,000 in damages from Spartan Capital Securities or Smith. This matter is currently pending a resolution.
On January 21, 2021, a client of Spartan Capital Securities LLC made a complaint about Ronald Smith, seeking $42,035 in damages. The client questioned stock transactions during his time at Spartan Capital Securities. However, the matter was closed without further action taken by the client.
Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney for more information. Smith and the brokerage firms he worked for 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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