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.
Investors possibly experienced sales practice violations because of securities broker Christopher Mark DiBari (also known as Chris DiBari) [CRD: 3012315, Milford, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DiBari worked for PNC Investments from July 14, 2011, to the present. Below, you can find important information about the disclosures involving this broker.
PNC Investments accused Chris DiBari of making unsuitable recommendations. Specifically, on March 7, 2025, a PNC Investments client filed FINRA Arbitration No. 25-00475 about Christopher DiBari. Supposedly, DiBari's recommendations failed to align with the client’s investment objectives. Allegedly, the broker did not properly explain annuity features. Because of this, the client allegedly incurred damages through investing in variable annuities. Consequently, the client requested $384,779.66 in compensation from PNC Investments or DiBari. Evidently, this arbitration is pending a resolution.
Particularly, on August 9, 2024, a PNC Investments client filed a complaint about Chris DiBari. Supposedly, DiBari made unsuitable recommendations relating to variable annuities. Therefore, the client requested $107,039.90 in compensation from PNC Investments or DiBari. However, the firm denied the complaint.
Additionally, a client of Fifth Third Securities Inc. contested Chris DiBari’s sales practices, according to a complaint dated December 22, 2010. Allegedly, DiBari made misrepresentations, which led to unauthorized trading. Allegedly, DiBari allegedly caused the client to sustain damages through investments in mutual funds. Because of this, the client sought compensation from Fifth Third Securities Inc. or DiBari in the amount of $7,296.97 in this matter. It appears that the firm denied this complaint.
Also, a client filed a complaint about Chris DiBari. Allegedly, DiBari made unsuitable recommendations about surrendering fixed annuities and he misrepresented information relating to mutual funds. The client also alleged DiBari made unsuitable recommendations about buying life insurance, which caused tax problems. Because of this, the client allegedly sustained damages. Consequently, on April 2, 2010, Fifth Third Securities Inc. settled this matter by paying the client $13,716.14 in damages.
Are you concerned regarding investments you made with Christopher DiBari? You should get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a potential recovery. Soreide Law Group has over a decade of experience recovering losses for investors throughout the United States. The law firm also takes cases on a contingency fee basis and advances all costs. DiBari and securities firms / investment advisories DiBari 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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