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Alex Johnson Embroiled in Dispute Seeking $9.1 Million

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 29, 2025 at 10:19pm

Alex Johnson (CRD #: 6994027), a broker registered with Piper Sandler & Company, is the subject of an investor dispute, according to his BrokerCheck record, accessed on September 1, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On June 18, 2025, an investor named Alex Johnson in allegations that certain shares sold in June 2023 were not fully vested and subject to restrictions on their transfer. The client further alleged that the stock price increased after this sale.

The client seeks $9.1 million in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Alex Johnson has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Securities Agent State Law Examination – Series 63

Alex Johnson is a registered broker in all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

He has also worked for Craig-Hallum Capital Group (CRD#:121395).

Kurta Law Can Help

If you worked with Alex Johnson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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