July 2016-Pell City, Alabama
The FINRA records of Joseph C. Alexander , a stock broker who is currently employed by Sterne Agee Financial Services, disclose a currently pending customer dispute and a prior finalized customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the currently pending matter, Case 01-CV-2016-900630.00 pending in the Circuit Court of Jefferson County, Alabama, a customer alleges that Alexander put them into risky and unsuitable investments and is seeking damages in excess of $5,000.
In an earlier matter customers alleged damages of $100,000 in connection with the purchase of mutual funds which the customers thought were back by the U.S. Government. That case settled in 10/2005 for $100,000 and a return of the funds.
Joseph C. Alexander has been employed by Sterne Agee Financial Services since 4/2002.
If you have questions about an account handled by Joseph C. Alexander call to learn how you may be entitled to collect damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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