Kristen L Lewis

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052926401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kristen Lewis, Respondent Former Non-Registered Associated Person (CRD No. 6577989) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Kristen Lewis, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2017052926401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6577989

Other names1

Also known as1

Kristen Lewis

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