Tag Archives: Christopher Todd Wendel

SA Stone Stockbroker Sanctioned For Unauthorized Transactions

Christopher Todd Wendel of Celina Ohio a stockbroker formerly employed by SA Stone Wealth Management Inc. has been ordered to cease and desist from violating securities laws or regulations by Ohio Division of Securities supported by allegations that (1) the stockbroker offered or sold securities without having been registered as a stockbroker in the State […]

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SA Stone Stockbroker Sanctioned For Unauthorized Transactions

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

Christopher Todd Wendel of Celina Ohio a stockbroker formerly registered with SA Stone Wealth Management Inc. is referenced in a Cease and Desist Order issued by Ohio Division of Securities founded on allegations of Wendel having sold unregistered securities to residents in Ohio during a time that he was not licensed as a stockbroker. Case […]

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SA Stone Wealth Barred For Selling Woodbridge Mortgage Investment Funds

June 21, 2018  |   Posted by :   |   Alternative Investments, Investment and Regulatory News   |   0 Comments

Christopher Todd Wendel of Celina Ohio a stockbroker formerly registered with SA Stone Wealth Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his employer and falsified testimony in a FINRA investigation into accusations of his […]

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SA Stone Wealth Management Fires Broker For Selling Away

Christopher Todd Wendel, of Celina, Ohio, a stockbroker registered with SA Stone Wealth Management Inc., has been fired on September 5, 2017, supported by accusations that he violated the policies of the firm through selling away; he effected promissory notes transactions outside the firm’s auspices. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Wendel […]

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SA Stone Wealth Management Fires Broker For Selling Away

Christopher Todd Wendel of Celina, Ohio, a stockbroker formerly employed with SA Stone Wealth Management Inc., has been fired from the company on September 5, 2017, based upon allegations that Wendel sold away from the firm. Wendel’s termination comes after the firm launched an investigation into his alleged private securities transactions on April 21, 2017. […]

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