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.

Christopher Laffey (CRD: 859962) is named in a pending customer claim alleging $1,695,000 in damages, with Alexander Capital as the firm named. BrokerCheck lists him as Christopher Charles Laffey.

Richard Rappaport is named in a pending arbitration claim over DST investments recommended by WestPark Capital, according to his BrokerCheck report, which lists him as Richard Alyn Rappaport (CRD: 1885122).

Chuck Roberts (CRD: 2064602) settled a Stifel customer dispute for $30,000,000 on September 11, 2026, after the claimant alleged $5,000,000 in damages.

The Logan Group Securities [CRD: 40259, Roseville, California] was censured and fined $70,000 in a FINRA disciplinary action, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. FINRA found that the firm, listed in the report as Logan, Kevin Christopher dba The Logan Group Securities, willfully violated Reg BI and Form CRS requirements. The firm consented to the sanctions and to the entry of findings without admitting or denying them, according to the Letter of Acceptance, Waiver and Consent (AWC) issued July 27, 2026.

Brown Associates, Inc. [CRD: 5049, Chattanooga, Tennessee] was censured and fined $30,000 in an AWC issued by FINRA, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

RBC Capital Markets, LLC (CRD #31194, New York, New York) was censured and fined $275,000 after an AWC found the firm failed to develop and implement an anti-money laundering compliance program reasonably designed to detect and cause the reporting of suspicious transactions, according to FINRA's September 2026 disciplinary report.