JOHN LAWRENCE ALEX at MORGAN STANLEY – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2020710
JOHN LAWRENCE ALEX is an Investment Adviser, associated with MORGAN STANLEY located at New York, NY. JOHN ALEX’s Central Registration Depository (CRD) number is 2020710 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for JOHN ALEX

    • Event Date: 3/19/2013
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: TIME FRAME: 2006-MAY 2008 CLAIMANT ALLEGES THAT RESPONDENTS ALLOWED THE TRUSTEE OF THE ACCOUNT AT ISSUE TO TRANSFER FUNDS OUT OF THE ACCOUNT WITHOUT THE PROPER AUTHORIZATION TO DO SO.
    • Damage Amount Requested: $2,000,000.00
    • Settlement Amount: $250,000.00
    • arbitrationDocketNumber: 13-00562

Disclosure #2 for JOHN ALEX

      • Event Date: 3/23/2012
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Settled
      • Disclosure Detail :: Allegations: CLAIMANT COUPLE ALLEGED FA CONCENTRATED THEM IN HIGH YIELD MUTUAL FUNDS AND PREFERRED STOCK TIED TO REAL ESTATE MARKET. TIME FRAME:FEBRUARY 2008-JUNE 2008
      • Damage Amount Requested: $500,000.00
      • Settlement Amount: $52,000.00
      • arbitrationDocketNumber:

Disclosure #3 for JOHN ALEX

      • Event Date: 3/23/2012
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Settled
      • Disclosure Detail :: Allegations: CLAIMANT COUPLE ALLEGED FA CONCENTRATED THEM IN HIGH YIELD MUTUAL FUNDS AND PREFERRED STOCK TIED TO REAL ESTATE MARKET. TIME FRAME:FEBRUARY 2008-JUNE 2008
      • Damage Amount Requested: $500,000.00
      • Settlement Amount: $52,000.00
      • arbitrationDocketNumber:


Should I file a FINRA complaint against brokers like JOHN LAWRENCE ALEX?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by JOHN LAWRENCE ALEX’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About JOHN LAWRENCE ALEX

What is JOHN ALEX's Central Registration Depository (CRD) Number?

2020710

Which firm is JOHN LAWRENCE ALEX associated with?

MORGAN STANLEY

Where is JOHN ALEX located?

55 East 52nd Street, New York, NY, 10055

Where can I find more details about JOHN ALEX's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/149777 to read a detailed report for MORGAN STANLEY

Are there any disclosures, allegations or complaints filed against JOHN LAWRENCE ALEX?

Yes. There are disclosures, allegations, or complaints filed against JOHN LAWRENCE ALEX. Click here to view all details

Where can I download a detailed FINRA report for JOHN ALEX?

Click here to download a detailed FINRA report for JOHN ALEX

Is it safe to do business with JOHN LAWRENCE ALEX?

We’re not sure. Please research JOHN ALEX’s disclosures, allegations and complaints before taking a decision


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