CHARLES DUANE LEWIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Duane Lewis (CRD No. 3236086), Respondent. DISCIPLINARY PROCEEDING No. 2010023492301 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 12, 2013 INTRODUCTION Disciplinary Proceeding No. 2010023492301 was filed on June 25, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Charles Duane Lewis
06/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Duane Lewis (CRD No. 3236086), Respondent. DISCIPLINARY PROCEEDING NO. 2010023492301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2007 and May 2010, Respondent Charles Duane Lewis misappropriated over $500,000.00 from an elderly customer, DS. In connection with FINRA's investigation of this misconduct, Respondent failed to respond to two FINRA Rule 8210
Reference 2010023492301finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3236086 |
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