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.
The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Patrick Allen English [CRD #: 5189025, Phoenix, AZ]. English worked for (1) Comerica Securities from 2016-2021; (2) Fidelity Brokerage Services from 2015-2016; and (3) Comerica Securities from 2011-2015.
Not only has Financial Industry Regulatory Authority (FINRA) barred the securities broker for failure to comply with a FINRA investigation, but an employer disassociated from him amid misconduct allegations. However, English denies the allegations. Read on to learn more about the accusations against English.
Evidently, on August 12, 2022, FINRA issued Acceptance, Waiver, and Consent (AWC) #: 2022075677601. The regulator barred Patrick English from having any association with FINRA-member firms. Supposedly, English failed to appear and testify in a FINRA investigation.
Specifically, FINRA says that on March 9, 2021, English's former employer, Comerica Securities, filed a Form U5 indicating that English was permitted to resign as a result of allegations that he used a text message to communicate trading directions to a client, a violation of firm procedures and policies.
He was also accused of indicating to a client that unplaced trades had been executed. FINRA began an investigation into the allegations In November 2021, where English initially cooperated by providing FINRA with documents and information. However, English stopped cooperating in July 2022. On July 5, 2022, FINRA sent a letter to English requesting that he appear for on-the-record testimony. Through his counsel, English indicated that he had received the request but would not appear for testimony at any time. As a result, English violated FINRA Rules 2010 and 8210.
Did you sustain damages through any sales practice violations by Patrick English? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a potential recovery of your investment damages. 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. English and brokerage firms English associated with deny any and all allegations 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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