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.
FINRA is pursuing an enforcement action against securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], according to disclosures on FINRA BrokerCheck. According to the regulator, Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024.
FINRA has alleged that Christensen failed to provide documents and testimony as part of an investigation into his outside business activities and private securities transactions. Here’s more about Christensen’s disclosures.
Specifically, on January 13, 2025, the FINRA initiated Case No. 2023080678101 against Christopher Christensen. Evidently, FINRA alleged that Christensen failed to provide documents and information requested under FINRA Rule 8210 as part of its examination into his outside business activities and private securities transactions. Therefore, FINRA intends to sanction Christensen.
According to the complaint, Christensen was affiliated with Airlink Markets LLC as a General Securities Representative from October 18, 2023, to March 20, 2024. During this period, FINRA began investigating his involvement with iCap Enterprises Inc., a company he founded and led as Chief Executive Officer. The firm allegedly raised millions from investors for real estate projects before its bankruptcy filing in December 2023.
FINRA requested Christensen to produce documents related to his outside business activities and private securities transactions on April 1, 2024. Despite multiple extensions, Christensen allegedly did not provide the requested documents. Similarly, Christensen was told to appear for testimony on April 23, 2024, and a rescheduled session on May 14, 2024. However, he supposedly failed to appear for both sessions.
On May 16, 2024, FINRA issued a second request for documents and, on May 17, 2024, a second request for testimony. Both notices were confirmed as received, yet Christensen purportedly did not comply. His failure to respond impeded FINRA’s examination and deprived it of important information, according to the complaint.
As a result, FINRA charged Christensen with violations of FINRA Rules 8210 and 2010. These rules require individuals associated with FINRA members to comply with regulatory requests for documents and testimony.
Also, Airlink Markets LLC disaffiliated with Christensen on February 19, 2024. Allegedly, Christensen indicated that the parent company of the broker dealer had filed for bankruptcy. Supposedly, he had been personally sued by some investors of the parent company.
Are you looking for more information about Christopher Christensen? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552. Talk with a securities attorney about a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Christensen and brokerage firms Christensen worked for deny any allegations 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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