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 have come forward with complaints about securities broker John Rochester (CRD: 2128760, Santa Fe, New Mexico). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Rochester breached a fiduciary duty, made misrepresentations, made unsuitable recommendations, failed to perform due diligence, breached a contract, and acted unethically. For more on these disclosures about Rochester, see below.
Specifically, a client of Morgan Stanley contested John Rochester’s sales practices by filing FINRA Arbitration: 21-02264. Allegedly, Morgan Stanley breached a fiduciary duty, made misrepresentations, gave unsuitable advice, failed to perform due diligence, breached a contract, and acted unethically. It appears that Rochester caused the client to sustain damages. Therefore, FINRA Arbitrators issued an Award dated March 23, 2023, compelling Morgan Stanley to compensate the client in the amount of $554,834.70.
Also, a client of Morgan Stanley contested John Rochester’s sales practices, according to a complaint. Allegedly, Rochester made misrepresentations. Supposedly, Rochester caused the client to sustain damages on variable annuities. Therefore, Morgan Stanley opted to settle the matter on January 15, 2010, by compensating the client in the amount of $60,223.78.
Have you experienced damages through John Rochester? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with an investment lawyer about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Rochester and brokerage firms Rochester 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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