FINRA bars Kristen L. Lewis (CRD #6577989, Marshall, Michigan)
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Raymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
read moreKristen L. Lewis (CRD #6577989, Marshall, Michigan) April 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lewis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lewis consented to the sanction and to the entry of findings that she refused to appear for FINRA on-the-record testimony in connection with a Form 4530 submitted by her former member firm reporting that she had been terminated because her conduct was inconsistent with firm standards related to personal bank accounts. (FINRA Case #2017052926401)
If you or someone you know has lost money investing with Kristen L. Lewis call the experienced FINRA arbitration attorneys at Epperson & Greenidge, LLP at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge, LLP accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.