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.

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt Advisory Services. Here’s more about Doherty’s disclosures.
Particularly, on January 11, 2024, an OSAIC Wealth Inc. client filed a complaint about Janet Doherty. Mainly, the client alleged unauthorized transactions. Because of this, the investor supposedly sustained damages on fixed annuities and variable annuities. Therefore, they requested damages from OSAIC Wealth Inc. or Doherty.
Specifically, a client of Royal Alliance Associates contested Janet Doherty’s sales practices by filing FINRA Arbitration: No. 09-05912. Notably, the investor alleged misrepresentation and unsuitable recommendations. Allegedly, Doherty caused the client to sustain damages on equity indexed annuities (EIAs). Consequently, Royal Alliance Associates opted to settle the matter on January 21, 2010, by compensating the client in the amount of $2,500.
Have you incurred losses due to Janet Doherty? You could get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible 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. Doherty and brokerage firms Doherty 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.
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