Articles Tagged with Christopher Wendel

AdobeStock_69736117-2-300x200Stoltmann Law Offices continues to investigate Christopher Wendel, who was recently terminated from SA Stone Wealth Management. Wendel was accused of violating the firm’s policy of selling away and of selling unsuitable real estate investment trusts (REITs). Wendel was accused of engaging in an outside business activity called Smoke on the Water LLC. The providing of loans or selling of notes outside the scope of a brokerage firm is a practice known as “selling away.” This is against securities laws and most internal firm practices because it generates commissions that the broker does not have to share with his member firm. Firms like SA Stone Wealth Management can be held liable for this kind of broker misconduct, because the firm had a duty to reasonably supervise its representatives. We are Chicago-based securities attorneys who take cases on a contingency fee basis, which means we only make money if you recover yours. Please call today for a no-cost, no-obligation consultation with one of our attorneys.
Mr. Wendel was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota from March 1989 until September 2002, American Express Financial Advisors in Minneapolis from March 1989 until September 2002, WRP Investments in Celina, Ohio from September 2002 until September 2014 and SA Stone Wealth Management in Celina from September 2014 until September 2017. He has five customer disputes against him. He is currently not registered within the industry. This is according to online public records with the Financial Industry Regulatory Authority (FINRA).

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