RALPH C. LEWIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004774901 TO: Department of Enforcement NASD RE: Ralph C. Lewis, Respondent Investment Company/Variable Contracts Representative CRD No. 1343047 Pursuant to Rule 9216 of NASD Code of Procedure, I, Ralph C. Lewis, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference 2006004774901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1343047

Other names1

Also known as1

RALPH CURTIS LEWIS

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