Tag Archives: SA Stone Wealth Management Inc.

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 […]

Read More »

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 […]

Read More »

SA Stone Sued By InvestorsFor Bad Mutual Fund Advice

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 […]

Read More »

SA Stone Broker Discharged For Penny Stock Sales

Thomas Milo Ayer of Oakland California a stockbroker formerly registered with SA Stone Wealth Management Inc. has been discharged on August 25, 2017 founded on accusations that Ayer solicited low-priced securities in violation of SA Stone Wealth Management’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on May 10, 2017, a customer […]

Read More »

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 […]

Read More »

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. […]

Read More »