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.
Investors reportedly may have incurred losses because of securities broker Timothy Lee Connor [CRD: 2222028, Redwood City, California], according to disclosures on FINRA BrokerCheck. It appears that Timothy Connor has been registered with LPL Financial LLC since June 14, 2021. Prior to this, he worked with Cetera Investment Advisers LLC from November 12, 2020, to June 14, 2021, and with First Allied Securities Inc. from October 18, 2011, to June 14, 2021. Keep reading to learn more about the client dispute filed against this securities broker.
Particularly, a First Allied Securities Inc. client filed FINRA Arbitration No. 23-03159 about Timothy Connor. The client alleged that Connor made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. As a result, on November 22, 2024, First Allied Securities Inc. settled this matter by paying the client $25,000 in damages.
Also, a client of First Allied Securities Inc. contested Timothy Connor’s sales practices by filing FINRA Arbitration No. 23-03402 on December 22, 2023. Allegedly, Connor breached his fiduciary duty, made unsuitable recommendations, was negligent, and breached a contract. Supposedly Connor caused the client to sustain damages on real estate securities. Therefore, the client seeks damages from First Allied Securities Inc. or Connor in the amount of $80,000 in this ongoing matter.
Additionally, on March 17, 2023, a First Allied Securities Inc. client filed FINRA Arbitration No. 23-00387 about Timothy Connor. The client alleged that Connor made unsuitable investment recommendations. Because of this, the client allegedly sustained damages on alternative investments, variable annuities, and structured products. Therefore, the client requested damages of an amount over $5,000 in compensation from First Allied Securities or Connor. Evidently, this arbitration is pending a resolution.
Do you have questions about investing through Timothy Connor? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Connor and brokerage firms Connor 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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