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) expelled securities broker Bryan Noonan [CRD: 4864372, Scottsdale, Arizona], according to disclosures on BrokerCheck. Evidently, Bryan Noonan worked for Raymond James Financial Services Inc. from July 28, 2021, to March 7, 2024, and Edward Jones from February 9, 2024, to June 26, 2024. Here’s more about Bryan Noonan's disclosures.
FINRA sanctioned Bryan Noonan on June 5, 2024, under Case No. 2024081517201, for failing to comply with FINRA's investigative requests when he worked for Raymond James Financial Services.
This issue stemmed from an investigation that FINRA initiated regarding Noonan's potential involvement in undisclosed outside business activities and private securities transactions (also known as selling away) during his time with Raymond James Financial Services Inc. On April 19, 2024, FINRA sent a request to Noonan for the production of specific information and documents as part of their investigation. This request was made under FINRA Rule 8210, which requires brokers to provide requested information or documents related to any FINRA investigation.
Notably, Noonan acknowledged receiving FINRA's request but then refused to produce the information or documents. By failing to comply with the request, Noonan violated FINRA Rule 8210 and 2010. As a result of his non-compliance, FINRA imposed a bar on Noonan, effectively prohibiting him from associating with any FINRA member firm in any capacity moving forward.
Did you suffer financially because of Bryan Noonan? If so, touch base with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Noonan and the brokerage firms he 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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