Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Ohio-based SA Stone Wealth Management broker Christopher Wendell was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wendell (CRD# 1930870).
Christopher Wendell has spent 28 years in the securities industry and was most recently registered with SA Stone Wealth Management in Celina, Ohio (2014-2017). Previous registrations include WRP Investments in Celina, Ohio (2002-2014); American Express Financial Advisors in Minneapolis, Minnesota (1989-2002); and IDS Life Insurance Company in Minneapolis, Minnesota (1989-2002). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and was discharged from his former employer.
In September 2017 he was terminated from SA Stone Wealth Management following allegations he “violated firm policy regarding selling away.”
In 2013 a customer alleged Christopher Wendell, while employed at WRP Investments, unsuitably invested assets in real estate investment trusts and sold low-cost mutual funds to purchase higher-cost mutual funds. The complaint settled in 2014 for $90,000.
In 2003 a customer alleged Christopher Wendell, while employed at American Express Financial Advisors, recommended unsuitable investments. The complaint settled for $200,000.
In 2000 a customer alleged Christopher Wendell, while employed at American Express Financial Advisors, executed unauthorized trades. The complaint settled for more than $130,900.
If you have complaints regarding Christopher Wendell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.