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.
On July 19, 2023, the Financial Industry Regulatory Authority (FINRA) barred JOHN CHARLES JACOBSEN (JOHN C JACOBSEN), formerly with Morgan Stanley of Little Falls, New Jersey. According to the FINRA report, Jacobson was allegedly terminated over revenue sharing with another representative.
Without admitting or denying FINRA’s findings, JOHN C JACOBSEN consented to the sanction and to the entry of findings that he allegedly refused to provide documents and information requested by FINRA in connection with its investigation of the circumstances surrounding his termination from his member firm.
FINRA’s findings stated that the firm filed a Form U5 stating that it had discharged Jacobsen due to concerns that he allegedly submitted transactions under production numbers that were inconsistent with an agreement with another representative resulting in a shortfall of revenue credited to the other representative.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN C JACOBSEN had been in the securities industry for 25 years and was listed with 3 firms. Jacobsen has 4 Disclosures on his FINRA CRD report. Two are “Customer Disputes,” one is a “Regulatory” barring him from the industry, and there is an “Employment Separation after Allegations,” from November of 2020 which involved his termination from Morgan Stanley following allegations of, “Allegations that the representative submitted transactions under production numbers that were inconsistent with agreement with another representative resulting in a shortfall of revenue credited to the other representative.”
After his termination from Morgan Stanley, JOHN C JACOBSEN was listed with Independent Financial Group, LLC, of Liberty Corner, New Jersey from 01/04/2021 to 03/22/2023.
If you’ve experienced financial losses due to the actions or recommendations of JOHN C JACOBSEN formerly of Morgan Stanley of Little Falls, New Jersey and Independent Financial Group of Liberty Corner, New Jersey, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents investors nationwide before FINRA on a contingency fee basis.
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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