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.
JUSTIN TEX ROBERTO was previously registered as a broker and is currently registered as an investment advisor. Roberto was discharged from MML INVESTORS SERVICES LLC of Virginia Beach, Virginia. According to FINRA’s BrokerCheck, there is an “Employment Separation after Allegations” listed on JUSTIN TEX ROBERTO’s FINRA CRD report dated October 9, 2024. The allegations listed are, “Registered Representative failed to follow to Firm policies regarding the use of unapproved sales materials and undisclosed outside business activity.” JUSTIN TEX ROBERTO was with MML INVESTORS SERVICES LLC of Virginia Beach, Virginia from January 3, 2023, until November 5, 2024.
According to the SEC’s website, JUSTIN TEX ROBERTO is currently registered as an investment advisor with TESFAYE O’NEILL FINANCIAL of Alexandria, Virginia since November 22, 2024. Roberto has been in the securities industry for 2 years and has been listed with 2 firms.
FINRA Rule 3270 states in part, “No registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.’ When brokers/financial advisors violate the FINRA rules, their clients may file claims against them and/or their firms.
FINRA RULE 3270 requires registered representatives and financial advisors to notify their firms in writing of outside business activities, commonly referred to as OBAs. Registered representatives are prohibited from engaging in any business activities outside the scope of their relationship with their member firm unless they have provided prior written notice to their member firm. This disclosure is essential to prevent conflicts of interest and protect client interests.
To discuss this or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery,
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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