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 securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams.
Specifically, on November 15, 2021, FINRA issued Case: 2020067985001, which contains sanctions against Timothy Williams for infractions. Namely, Williams was barred as a securities broker. Mainly, FINRA alleged that Williams failed to respond to FINRA’s request for information.
Also, a client of Edward Jones contested Timothy Williams’ sales practices, according to a complaint. Allegedly, Williams made misrepresentations of material fact. Supposedly, the CD transactions resulted in damages. Therefore, Edward Jones opted to settle the matter on July 26, 2018, by compensating the client in the amount of $6,000.
Particularly, on August 17, 2020, Edward Jones terminated the registration of Williams. Namely, Edward Jones alleged that Williams failed to comply with an internal investigation.
Did you sustain damages by investing with Timothy Williams? If so, get in touch with Soreide Law Group at (888) 760-6552 and consult with a securities lawyer about a possible recovery of your investment losses or other damages. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Williams and brokerage firms Williams worked for deny 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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