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.
Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)
has been barred from association with any FINRA member in any capacity.
This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s behalf.
FINRA's findings stated that they dismissed the allegation that Roy failed to give his firm notice of an outside brokerage account.
(FINRA Case #2010023375101)
This information appeared on FINRA's website under "Disciplinary and Other Actions, June, 2012."
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations, please call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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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