Robert Charles Starnes of Wauwatosa, Wisconsin, a stockbroker registered with SA Stone Wealth Management Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Starnes failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules during the time that he was associated with…
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…
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…
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…
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…
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…
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….