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 possible investor claims against Timothy Cooney (also known as Tim Cooney) (CRD: 2946727, Warren, Rhode Island). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Cooney failed to provide information to FINRA concerning an undisclosed outside business activity investigation. Here is a brief summary of FINRA’s allegations against Cooney.
Notably, on May 18, 2020, FINRA issued Case: 2019064131101 sanctioning Timothy Cooney for infractions. Namely, FINRA alleged that Cooney failed to provide information and documents to FINRA. Supposedly, FINRA sought information about an undisclosed outside business activity.
Notably, Allstate Financial Services told FINRA via a Form U5 that Cooney’s outside activities involved charging clients for financial services. The securities broker told FINRA in May 2020 that he would not cooperate in the investigation by providing the documents or information. For this reason, Cooney was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities.
Incurred damages by investing with Timothy Cooney? If so, feel free to call Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the country, represents clients on a contingency fee basis and advances all costs. Cooney and brokerage firms Cooney worked for deny any and all 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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