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.
DAVID VICTOR JANNY (DAVID V JANNY) has been registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Westport, Connecticut since 7/15/2022. He was previously registered as an investment advisor and broker with MORGAN STANLEY of Westport, Connecticut from 11/21/2012 - 08/03/2022.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DAVID V JANNY has been in the securities industry for 41 years and has been listed with 4 firms. Janny has 8 disclosures on his FINRA CRD report between 2008 and 2024. All 8 disclosures are “Customer Disputes” -- 3 were denied, 2 are pending, and 3 have settled. The significance of DAVID V JANNY’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% was the subject of 3 or more customer complaints. In other words, DAVID V JANNY’s customer complaints rank him in the top one hundredth percent of all registered representatives for customer complaints.
There was a dispute filed against DAVID V JANNY on 10/23/2024 that is currently pending. The damage amount requested is $500,000.00. The allegations are, “During the period July 2022-October 2023, claimants allege respondent recommended unsuitable investments including stocks in speculative precious metals and the energy sector.”
On 11/22/2023, another “Customer Dispute” was filed against DAVID V JANNY requesting damages of $5,000,000.00. The allegations are, “Claimants allege, inter alia, Excessive trading with respect to investments - Nov 2012 through July 2022.” This dispute is pending.
Another dispute filed against Janny dated 1/13/2011, settled for $135,000.00, and the requested damages were $130,000.00. The allegations were, “CLAIMANT ALLEGES HER ACCOUNT WAS AGGRESSIVELY TRADED IN HIGH RISK INVESTMENTS THAT WERE CONTRARY TO HER WISHES AND STATED OBJECTIVES. TIME FRAME: 12/2003-4/2010.” There is a Broker Comment listed on this disclosure.
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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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