Christopher Todd Wendel, Ex SA Stone Broker, Barred During Investigation of Sales of Ponzi Investment
Adam J. Marquardt
June 6, 2018
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
