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.
Barclays Capital Inc. (CRD #19714, New York, New York)
was censured, fined $155,000 and required to revise its Written Supervisory Procedures (WSPs) for allegedly submitting inaccurate short interest position reports to FINRA, and failed to report to FINRA its short interest positions.
FINRA's findings stated that Barclays Capital’s supervisory system did not provide for compliance with respect to the applicable securities laws and regulations, and FINRA rules, to ensure an adequate review of the firm’s short interest positions.
(FINRA Case #2011030505401)
This summation of information obtained from FINRA's Website "Disciplinary and Other Actions March 2015, ends here."
Soreide Law Group represents clients nationwide. If you or a loved one experienced investment losses due to your broker/dealer or financial advisor, call a Securities Arbitration Lawyer at no cost for a consultation on how to potentially recover your losses at 888-760-6552.
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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