Type not stated
Screen this subjectCharles Lewis
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/02/2025: From 2019 to 2021, Lewis obtained reimbursement from Wells Fargo business-expense programs for fictitious expenses he had not incurred, in violation of FINRA Rule 2010. He is suspended for one month and fined $10,000.
Reference 2022075722901finra.orgdata-portal.finra.org
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