Gregory Antonius Lewis

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. StockKings Capital LLC (BD No. 164445) and Gregory Antonius Lewis (CRD No. 2793976), Respondents. Disciplinary Proceeding No. 2019060648701 Hearing Officer—MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 11, 2022 INTRODUCTION Disciplinary Proceeding No. 2019060648701 was filed on June 28, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).
06/28/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. StockKings Capital LLC (BD No. 164445) and Gregory Antonius Lewis (CRD No. 2793976), Respondents. DISCIPLINARY PROCEEDING NO. 2019060648701 COMPLAINT The Department of Enforcement alleges: I. SUMMARY 1. Since 2013, Gregory Antonius Lewis has been the founder, majority owner, and Chief Executive Officer (CEO) of FINRA member StockKings Capital LLC (“StockKings Capital” or the “Firm”). From the time he formed
Reference 2019060648701data-portal.finra.org data-portal.finra.org finra.org

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