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.
Financial Industry Regulatory Authority (FINRA) sanctioned David Victor Tall (also known as Dave Tall) [CRD: 1314547, Costa Mesa, California], according to disclosures on BrokerCheck. Evidently, David Tall worked for Osaic Wealth Inc. from September 1, 2023, to December 19, 2023, and Sagepoint Financial Inc. from October 31, 2005, to September 1, 2023. Keep reading to learn more about the disclosures associated with this securities broker and the potential impact on investors.
Notably, on February 13, 2024, FINRA issued Case No. 2023080474101, sanctioning David Tall for infractions. FINRA alleged that Tall violated FINRA Rules 8210 and 2010 by refusing to provide requested information and documents.
On December 19, 2023, Osaic Wealth filed a Uniform Termination Notice for Securities Industry Registration (Form U5), reporting that Tall was discharged for allegedly executing promissory notes without prior approval.
On November 27, 2023, FINRA requested Tall to produce certain information and documents. Tall acknowledged receipt of the request but refused to comply. By failing to produce the requested information, Tall violated FINRA Rule 8210, which requires a securities broker’s cooperation with investigations.
As a result of these violations, FINRA imposed a bar on Tall, effectively prohibiting him from associating with any FINRA member in any capacity.
Have you incurred losses due to David Tall? If so, touch base with Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Tall and the brokerage firms Tall 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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]