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.
Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Marat Likhtenstein [CRD: 2470480, Brooklyn, New York]. Evidently, Likhtenstein worked for Osaic Wealth Inc. from November 2, 2018, to June 27, 2024. Keep reading to learn about Likhtenstein’s termination and FINRA's investigation, which resulted in his permanent bar from the industry.
On July 3, 2024, FINRA requested documents and information from Likhtenstein regarding his activities. Additionally, on July 18, 2024, FINRA asked Likhtenstein to testify about these matters. On July 25, 2024, Likhtenstein’s lawyer informed FINRA that Likhtenstein would neither provide the requested documents nor testify in an investigation. This refusal violated FINRA Rules 8210 and 2010. Consequently, on August 5, 2024, through Letter of Acceptance, Waiver, and Consent No. 2024082598101, FINRA permanently barred Likhtenstein from being a securities broker or holding other securities positions with FINRA-member firms.
On June 7, 2024, Osaic Wealth Inc. disaffiliated with Marat Likhtenstein, alleging that he failed to disclose personal loan transactions with a client. Following this termination, Osaic Wealth submitted a Form U5 on June 27, 2024, alerting FINRA to the situation. As a result, FINRA launched its investigation into the broker.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Likhtenstein and the brokerage firms he worked for deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency 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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