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.
Stephanie Lee Webster (CRD #2424488, Registered Representative, Fort Lauderdale, Florida)
was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Webster consented to the described sanctions and to the entry of findings that she attempted to settle a customer’s complaint, without notifying her current or previous member firm.
FINRA's findings stated that Webster offered to settle the customer’s complaint by either paying him approximately $70,000 or by creating a consulting agreement with the customer, whereby Webster would pay the customer for consulting services as a method of resolving the customer’s complaint.
The suspension was in effect from September 17, 2012, through October 5, 2012.
(FINRA Case #2010024798801)
The above information was obtained from FINRA’s website listed under “Disciplinary and Other FINRA Actions, October, 2012.”
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. For a free consultation on how to potentially recover your losses please call: 888-760-6552, or you may visit our website and complete the online form at: https://www.securitieslawyer.com.
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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