DID ALEX RONALD JOHNSON CAUSE YOU INVESTMENT LOSSES?
About Tony Barouti of Emerson Equity LLC?
Tony Barouti (CRD #3031995)
Investment Losses? Let’s talk.or, give us a ring at (833) 300-6983.
About Alex Ronald Johnson (Piper Sandler & Co.)
Alex Ronald Johnson (CRD #6994027) is a registered broker currently employed by Piper Sandler & Co. in Minneapolis, Minnesota. He has been registered with the firm since May 2021 and is licensed in all 53 U.S. states and territories, as well as with 11 self-regulatory organizations (SROs). Johnson has passed the Series 7, SIE, and Series 63 exams, but has not passed any principal/supervisory exams.
Despite his active registration, Johnson is currently the subject of a pending multi-million-dollar customer complaint.
Alex Johnson Customer Complaints and Disclosures
Customer Dispute – Pending Arbitration
- Date Filed: June 17, 2025
- Forum: FINRA Arbitration
- Allegations: The client alleges that in June 2023, Johnson executed a sale of shares that were not fully vested and subject to transfer restrictions. The customer claims the shares increased in value after the sale and asserts they could have profited if the shares had been held.
- Product: Listed Equities (Common & Preferred Stock)
- Alleged Damages: $9,100,000
- Status: Pending
- Reporting Source: Broker
This matter is still unresolved and no settlement or adjudication has been recorded at this time.
Allegations Against Alex Johnson
The allegations raise concerns about:
- Improper sale of restricted stock
- Trade execution errors leading to missed financial opportunities
Such issues may point to negligence or lack of understanding of vesting terms and transfer restrictions, both of which can severely impact client portfolios.
Alex Johnson Red Flags & Your Rights as an Investor
Red Flags & Your Rights as an Investor
A $9.1 million pending complaint is a major red flag for any broker. FINRA-licensed representatives have a legal obligation to:
- Understand the restrictions on client-held securities
- Ensure that trades do not violate vesting schedules or contractual obligations
- Prioritize the client’s best interest
If a broker fails in these duties, affected investors may pursue compensation through FINRA arbitration, a specialized dispute resolution process.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at (833) 300-6983. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at (833) 300-6983.
File a Claim to Recover Your Investment Losses at Piper Sandler & Co.Due to Alex Ronald Johnson
If you have concerns about to Alex Ronald Johnson’s recommendations or the management of your accounts, contact Attorney Pearce for a free initial consultation via email or Toll-Free 1-(833) 300-6983. Act promptly—strict time limits apply to securities-arbitration claims