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 apparently complained about securities broker H. Todd Roggen (also known as T. Todd Roggen) [CRD: 721463, Houston, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Roggen worked for Raymond James Financial Services Inc. from June 23, 2010, to November 1, 2024. Keep reading to discover more about Roggen’s disclosures.
Particularly, on May 14, 2025, a Raymond James Financial Services Inc. client filed a complaint about Todd Roggen. Primarily, the client alleged that Roggen made unsuitable recommendations about private placements. For this reason, the client allegedly experienced damages connected to real estate securities. Consequently, the client requested at least $5,000 in compensation from Raymond James Financial Services Inc. or Roggen.
Notably, a client of UBS Financial Services Inc. disputed Todd Roggen’s sales practices by filing FINRA Arbitration No. 09-05906. Allegedly, Roggen made misrepresentations and unsuitable recommendations involving a preferred stock offering. It appears that Roggen allegedly caused the client to sustain damages relating to stocks. As a result, UBS Financial Services Inc. opted to settle the matter on November 17, 2010, by compensating the client in the amount of $90,000.
Also, a client of UBS Financial Services Inc. contested Todd Roggen’s sales practices by filing FINRA Arbitration No. 09-05907. Allegedly, Roggen made misrepresentations and made unsuitable recommendations relating to a purchase of preferred stock. It appears that Roggen allegedly caused the investor to sustain damages. Therefore, UBS Financial Services Inc. opted to settle the matter on November 17, 2010, by compensating the client in the amount of $40,000.
Evidently, a client of UBS Financial Services Inc. disputed Todd Roggen’s sales practices by filing FINRA Arbitration No. 08-03887. Allegedly, Roggen made unsuitable recommendations and made misrepresentations regarding purchases of preferred stock. It appears that Roggen allegedly caused the client to sustain damages. Consequently, UBS Financial Services Inc. opted to settle the matter on February 18, 2010, by compensating the client in the amount of $195,000.
Did you experience losses because of Todd Roggen? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Roggen and brokerage firms Roggen worked for deny 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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