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.
RYAN DAVID FINCH (RYAN D FINCH) has been registered with EMERSON EQUITY LLC of Greenwood Village, Colorado, both as an investment advisor and as a broker since 2020. He was previously registered also as an investment advisor and broker with COLORADO FINANCIAL SERVICE CORPORATION of Greenwood Village, Colorado.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RYAN D FINCH, has been in the securities industry for 11 years and has been listed with 3 firms. Finch has 3 disclosures on his FINRA CRD report, all 3 are pending “Customer Disputes.” The significance of Finch’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, RYAN D FINCH’s customer complaints rank him in the top one hundred percent of all registered representatives for customer complaints.
The “Customer Dispute” dated 7/9/2025 is currently pending. The allegations are, “Violation of Federal Securities Laws; Violation of the Colorado Securities Act; Violation of the Colorado Consumer Protection Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence, trades placed in 2021.” The damage amount requested is $542,000.00. Finch added a broker comment denying the allegations.
On 10/7/2025 the pending “Customer Dispute” filed against RYAN D FINCH alleges, “Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Regulation Best Interest; breach of fiduciary duty; claims under common; vicarious liability.” The broker comment added by Finch denies these allegations.
There is a pending “Customer Dispute” filed against RYAN D FINCH dated 11/11/2025. The allegations are, “Breach of fiduciary duty; negligence; and violation of Regulation BI.”
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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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