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.
Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ronnie Lynn Cochran [CRD: 2104444, Lincoln, Nebraska], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ronnie Cochran joined NYLIFE Securities LLC in April 1999. Read below for additional information about Ronnie Cochran’s disclosures.
Particularly, on July 24, 2023, a NYLIFE Securities LLC client filed a complaint about Ronnie Cochran. Supposedly, Cochran made recommendations that caused tax consequences and liquidity problems. Because of this, the client allegedly sustained damages on variable annuities. As a result, the client requested compensation from NYLIFE Securities LLC or Cochran. The firm denied this complaint.
Also, a client of NYLIFE Securities LLC contested Cochran’s sales practices, according to a complaint. Allegedly, Cochran omitted information about an annuity. Therefore, NYLIFE Securities LLC opted to settle the matter on September 9, 2015, by compensating the client in the amount of $19,654.68.
In addition, a client of NYLIFE Securities LLC contested Ronnie Cochran’s sales practices, according to a complaint dated March 7, 2007. Allegedly, Cochran made misrepresentations about tax implications on variable annuity transactions. Therefore, the client sought compensation from NYLIFE Securities LLC or Cochran in the amount of $164,233.66 in this matter.
Have you experienced losses because of any sales practice violation by financial advisor / securities broker Ronnie Cochran? If so, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities lawyer about your legal options. Soreide Law Group has recovered losses for many clients in the US, works on a contingency fee basis, and advances all costs. Cochran and brokerage firms Cochran worked for deny any 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.
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