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.
Corey Lamar Battey (CRD #4123425, Registered Representative, Clermont, Florida)
was fined $5,000 and has ben suspended from association with any FINRA member in any capacity for six months.
This fine will be due and payable if and when Battey re-enters the securities industry. These sanctions were based on FINRA's findings that Battey failed to respond to FINRA in a timely manner for their requests for documents and information.
Corey Battey's suspension is in effect from April 16, 2012, through October 16, 2012.
(FINRA Case #2009021048402)
This information appeared on FINRA's website under "Disciplinary and Other FINRA Actions for June 2012."
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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