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June 6, 2018

Kevin Edward Looser Suspended for Allegedly Selling Customers Unapproved Securities in His Firm

On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) announced it suspended Kevin Edward Looser for from associating with firms registered with FINRA for four months.  FINRA registers and regulates securities brokers and brokerage firms. FINRA said it suspended Looser after investigating him and finding that he participated in fourteen private securities transactions

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Christopher Todd Wendel, Ex SA Stone Broker, Barred During Investigation of Sales of Ponzi Investment

On June 1, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Christopher Todd Wendel from associating with firms registered with FINRA.  FINRA registers and regulates stockbrokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Wendel because he engaged in unapproved private securities sales and gave

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