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.
FINRA barred securities broker Justin Gyunho Kim (also known as Gyunho Kim) [CRD: 6703074, San Francisco, California], based on disclosures reported on FINRA BrokerCheck. Kim worked for Citigroup Global Markets Inc. from December 11, 2023, to January 2, 2026, and previously worked for Lazard Freres Co. LLC from September 20, 2021, to August 11, 2023. These disclosures raise concerns about his regulatory history and conduct while associated with these firms.
On March 16, 2026, FINRA barred Kim from associating with any member firm in all capacities. The action followed an investigation related to his termination from Citigroup Global Markets Inc., which reportedly involved his failure to disclose an arrest under firm policies. As part of its investigation, FINRA issued a request on January 23, 2026, under Rule 8210, seeking documents and information from Kim.
FINRA stated that Kim acknowledged receiving the request but declined to provide the requested materials. As a result, FINRA determined that Kim violated Rule 8210, which requires cooperation with regulatory investigations, and Rule 2010, which requires adherence to high ethical standards.
On December 22, 2025, the United States Securities and Exchange Commission filed Case No. 2:25-CV-18864 against Kim. The SEC alleges that he provided material nonpublic information obtained through his employment to another individual, who then traded on that information and shared it with others.
According to the complaint, this conduct was part of a broader scheme between June 2020 and February 2024. The SEC alleges that Kim received personal benefits in exchange for sharing confidential information related to potential corporate acquisitions. The conduct allegedly violates federal securities laws, including Section 10(b) of the Securities Exchange Act of 1934, as well as Rule 10b-5. The SEC is seeking monetary penalties, disgorgement, injunctive relief, and a prohibition from associating with broker-dealers or investment advisers. The case remains pending.
Kim is also the subject of a pending federal criminal case filed on December 1, 2025, in the United States District Court for the District of New Jersey. The case includes six felony counts involving conspiracy to commit securities law violations, conspiracy to commit insider trading, insider trading under Section 10(b) and Rule 10b-5, and offenses involving wire communications. No plea has been entered, and the matter remains ongoing.
If you experienced investment losses involving Justin Kim, you may consider contacting Soreide Law Group at (888) 760-6552 or online to discuss possible recovery options. The firm represents investors nationwide, works on a contingency fee basis, and advances costs. Kim and the firms where he was employed deny allegations of sales practice violations at present.
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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