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 Thomas Edwin Moran [CRD: 1938300, New York, New York]. Evidently, Moran has worked for Citigroup Global Markets Inc. since January 4, 2013. Previously, he worked for Gruntal Co. LLC. Investors have raised concerns about Moran’s sales practices, leading to client disputes over the years. Keep reading to learn more about the allegations.
On April 21, 2020, a client of Citigroup Global Markets Inc. made a complaint about Thomas Moran, alleging that he misrepresented information regarding the sale of mutual funds. The client claimed Moran assured them that the Pioneer Multi-Asset Ultra Short Income Fund was a safe place to hold cash, which led the client to request $31,586.63 in damages. However, this complaint was denied.
On April 28, 2016, a client of Citigroup Global Markets Inc. made a complaint seeking $720,000 in damages, accusing Moran of making unsuitable trades involving mutual funds. However, the firm denied the complaint and no compensation was awarded.
Moran was involved in FINRA Arbitration No. 02-05629, which settled for $9,999 on April 23, 2004. The case alleged that Moran breached a contract involving the sale of stocks while working for Gruntal Co. LLC.
On September 29, 2000, another client at Gruntal Co. LLC accused Moran of misrepresenting facts about stock transactions and failing to follow instructions. This client requested damages, but the firm denied the complaint without awarding compensation.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney about Thomas Moran. Moran 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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