Kris Lynn Lewis
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2018: REDACTED VERSION - FOR PUBLICATION FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KRIS LYNN LEWIS (CRD No. 4505097), Respondent. Disciplinary Proceeding No. 2015047154001 Hearing Officer-DRS HEARING PANEL DECISION July 16, 2018 Respondent is barred from associating with any FINRA member firm for (1) willfully failing to timely amend her Form U4 to disclose that
03/15/2017: Redacted FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kris Lynn Lewis (CRD No. 4505097), Respondent. DISCIPLINARY PROCEEDING No. 2015047154001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Kris Lynn Lewis willfully failed to timely amend her Uniform Application for Securities Industry Registration ("Form U4") to disclose that she was charged with, and pled guilty to, a felony. By virtue of the foregoing
Reference 2015047154001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4505097 |
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