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.
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
David Appel (CRD #1026798, Registered Representative, Brooklyn, New York)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that he failed to completely respond to FINRA requests for information and documents in connection with inquiries concerning sales of promissory notes.
(FINRA Case #2009020303101)
On FINRA's BrokerCheck, David Appel was registered with the following:
PARK AVENUE SECURITIES LLC
CRD# 46173
NEW YORK, NY
01/2001 - 03/2011
ROYAL ALLIANCE ASSOCIATES, INC.
CRD# 23131
NEW YORK, NY
11/1989 - 05/2009
BERKSHIRE EQUITY SALES, INC.
CRD# 87
PITTSFIELD, MA
02/1982 - 08/2000
This the information from FINRA’s website.
If you have experienced a financial loss due to your broker/financial advisor's recommendation, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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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