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FINRA Recommends Disciplinary Action Against Charles Lewis

Charles Lewis (CRD #: 2495723), a broker registered with Wells Fargo Clearing Services, allegedly submitted falsified expense reimbursement claims, according to his BrokerCheck record, accessed on February 11, 2025. Investors may have also worked with him through Wells Fargo Advisors. Read on if you have questions about his alleged conduct as a broker.

FINRA Investigation

On January 22, 2025, FINRA entered a preliminary determination to recommend disciplinary action against Charles Lewis, alleging that he violated FINRA Rule 2010 by submitting falsified and misleading expense reimbursement claims to his firm.

He allegedly used these claims to obtain over $114,000 from his firm’s business expense programs from 2019 through 2021.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Charles Lewis has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Charles Lewis is a registered broker in 28 states and a registered investment adviser in Texas.

He has also worked for the following firms:

  • Wells Fargo Investments (CRD#:10582)
  • Wells Fargo Brokerage Services (CRD#:16100)
  • Wells Fargo Securities (CRD#:17438)

Kurta Law Can Help

If you worked with Charles Lewis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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