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 possibly experienced sales practice violations by securities broker Vincenzo Pietro Garganese (also known as Vincenzo Hart) [CRD: 6760844, Portland, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Garganese has been registered with MML Investors Services LLC since April 22, 2017, serving clients from the firm’s Portland and Falmouth, Maine offices. Keep reading to learn more about Garganese’s disclosures involving alleged sales practice violations and client disputes.
Particularly, on July 15, 2025, an MML Investors Services LLC client filed a complaint about Vincenzo Garganese. The client alleged that Garganese made misrepresentations of material fact and failed to provide material disclosures in February 2021. For this reason, the client allegedly incurred damages. Consequently, the client requested compensation from MML Investors Services LLC or Garganese. The complaint remains pending, with clients estimating total damages of approximately $457,178.96.
Notably, a client of MML Investors Services LLC disputed Vincenzo Garganese’s sales practices, according to a complaint. Allegedly, Garganese made unsuitable recommendations by advising a conservative investor to purchase aggressive stocks beginning in 2020. It appears that Garganese caused the client to sustain damages. Therefore, MML Investors Services LLC opted to settle the matter on October 8, 2024, by compensating the client in the amount of $100,000.
Are you concerned regarding investments you made with Vincenzo Garganese? You should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Garganese and brokerage firms Garganese worked for deny accusations 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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