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.
Christopher Laffey (CRD: 859962) is named in a pending customer claim alleging $1,695,000 in damages, with Alexander Capital as the firm named. BrokerCheck lists him as Christopher Charles Laffey.
His BrokerCheck report also lists a $675,000 settlement at Alexander Capital in 2026 and settled disputes going back to 1980.
A customer filed a dispute against Christopher Laffey on September 22, 2022, under docket number 22-02061, alleging breach of fiduciary duty, misrepresentation and negligence starting in November 2019. The dispute settled for $675,000 on July 10, 2026.
That case number also appears on the BrokerCheck reports of Rocco Gerard Guidicipietro, Shawn Michael Weadock, Joseph Anthony Amato and Jonathan Gabriel Gazdak.
A complaint naming Tucker Anthony, filed April 27, 1998, settled July 28, 1999 for $65,000. The customer had alleged $270,000 in damages against Christopher Laffey.
Two complaints came in May 1992. One, filed May 28, 1992, alleged churning and the handling of the account by Laffey; it settled January 28, 1994 for $48,000, with alleged damages of $30,000. Churning refers to excessive trading in an account, usually to generate commissions. The other, filed May 18, 1992, alleged unauthorized trades and a failure to disclose the risks of short selling, and it settled November 1, 1994 for $200,000.
The oldest matter dates to January 1, 1980. A client claimed Laffey failed to use stop loss orders, resulting in losses of approximately $100,000, and the dispute settled for $15,000.
Christopher Laffey is the subject of a pending complaint filed August 19, 2026 under docket number 26-01863. The claim alleges $1,695,000 in damages and names Alexander Capital.
Until a pending claim is settled or decided, its allegations are unproven. Christopher Laffey has not had a ruling or settlement recorded on this claim.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Christopher Laffey handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 6, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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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