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.
Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Darren Nickolas Ting [CRD: 6814035, Cleveland, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Darren Ting worked for J.P. Morgan Securities LLC from March 12, 2021, to March 2, 2022, and previously for Merrill Lynch from February 6, 2018, to March 8, 2021. Continue reading to discover more about the FINRA regulatory action against Darren Ting.
Specifically, on December 12, 2023, FINRA issued Case: Letter of Acceptance, Waiver, and Consent No. 2022074432901 sanctioning Darren Ting.
Ting's conduct came under FINRA scrutiny leading to his voluntary resignation from JP Morgan Securities in March 2022 amidst allegations of executing trades without prior client authorization, marking solicited trades as unsolicited, and utilizing unapproved communication channels with clients.
Specifically, FINRA claimed that between June 2021 and January 2022, Ting executed 60 trades across six client accounts without written consent, violating FINRA Rule 3260(b). Furthermore, Ting was found to have inaccurately marked at least 150 trades as unsolicited from May 2021 to December 2021, causing his employer to maintain false records, a violation of FINRA Rules 4511 and 2010. The sanctions imposed on Ting include a four-month suspension and a $10,000 fine.
Did you experience losses because of Darren Ting? If so, reach out to Soreide Law Group online or at (888) 760-6552 and discuss the possibility of recovering your investment losses. Soreide Law Group has successfully recovered losses for investors across the United States. The firm works on a contingency fee basis, advancing all costs. Ting and the brokerage firms he worked for deny any 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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