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 reveals disclosures about securities broker Vinessa Renee Christian (CRD: 1860324, New York, NY). Christian previously worked for UBS Financial Services Inc. from September 2005 to April 2023 and was also registered with RBC Dain Rauscher Inc. and Tucker Anthony Incorporated.
Recent disclosures reveal concerns about Christian’s conduct, leading to a permanent bar by FINRA due to failure to respond to regulatory inquiries.
On October 31, 2023, FINRA initiated a regulatory action against Christian, alleging that she failed to respond to FINRA’s requests for information (Docket No. 2023078490201). As a result, FINRA issued a suspension notice on October 31, 2023, followed by a final bar on February 5, 2024, after she did not request termination of her suspension within the required three-month period. This bar permanently prohibits her from associating with any FINRA member in any capacity.
UBS Financial Services Inc. discharged Christian on March 22, 2023. The firm alleged that she violated company policy by reusing a client signature from a previously signed form and altering the date on an ACAT form before scanning it. These actions led to her termination after an internal review determined misconduct.
Investors who engaged with Christian during her tenure at UBS Financial Services or her previous firms should review their accounts and transactions. Given the regulatory bar and prior employment allegations, clients may wish to seek legal counsel if they have concerns regarding their investments or advisory services received.
Looking for more information about Vinessa Christian? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group works on a contingency basis, advances all costs, and assists clients throughout the United States with recovering losses from sales practice misconduct. Christian and the firms she worked for deny accusations 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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