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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Anida Venniro (also known as Enida Kerciku, Enida Venniro) [CRD#: 5121189, Orlando, Florida]. Anida Venniro worked for Ameriprise Financial Services, LLC from March 2021 to June 2024 and previously held positions at LPL Financial LLC, among others, during her 17-year career. Recent disclosures reveal concerns about Venniro’s conduct, including regulatory sanctions and allegations of misrepresentation in client investments.
On June 4, 2021, a client of LPL Financial LLC filed a FINRA arbitration claim [FINRA Arbitration No. 21-01441], alleging that Anida Venniro engaged in misrepresentation and omission in 2015 while soliciting investments in a private real estate development. The client claimed that these alleged actions caused significant financial harm.
The matter was resolved on May 2, 2022, when LPL Financial LLC settled the case for $97,500. Venniro did not contribute to the settlement amount.
On September 20, 2024, FINRA sanctioned Anida Venniro for engaging in outside business activities (OBA) without providing prior written notice to her member firm, LPL Financial LLC. The allegations stated that Venniro offered property management and commercial real estate services to two clients with the reasonable expectation of compensation. These activities were outside the scope of her employment relationship.
As part of the resolution, Venniro consented to the sanctions without admitting or denying the findings. FINRA imposed a $5,000 fine and a one-month suspension from all registration capacities, effective from October 7, 2024, to November 6, 2024.
On June 19, 2024, Ameriprise Financial Services, LLC permitted Anida Venniro to resign after the firm alleged that she provided inaccurate information to both the firm and FINRA regarding her outside business activities. The resignation was classified as voluntary but followed the firm’s investigation into these allegations.
If so, reach out to Soreide Law Group online contact us here or at (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Venniro and the firms she 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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