Joseph Christopher Alexander of Birmingham Alabama a stockbroker currently registered with SA Stone Wealth Management Inc. is referenced in a customer initiated investment related arbitration claim which settled for $75,000.00 in damages founded on accusations that mutual fund trades effected in the customer’s account failed to be suitable for the customer. FINRA Arbitration No. 16-02680 (Aug. 3, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that Alexander is the subject of a customer initiated investment related written complaint which was resolved for $100,000.00 based upon allegations that while Alexander was associated with Sterne Agee Financial Services Inc., false or misleading statements had been made to the customer concerning the safety of mutual fund investments held in the customer’s account.
