Craig Lewis: Massachusetts Orders Two Years of Heightened Supervision

Craig Lewis (CRD #: 2264865), a broker registered with Janney Montgomery Scott, is the subject of a Massachusetts regulatory action, according to his BrokerCheck record, accessed on August 26, 2021. He was also fired earlier this year. For more detail on Craig Lewis’s conduct as a broker, keep reading.

On July 15, 2021, Massachusetts ordered two years of heightened supervision for Craig Lewis. This heightened supervision includes an annual audit of all of Craig Lewis’s client accounts. Massachusetts ordered heightened supervision following three customer complaints and termination from UBS.

On February 2, 2021, UBS Financial Services fired Craig Lewis following allegations that he failed to comply with firm policies regarding unauthorized client communications.

These are not the only disclosures on Craig Lewis’ license. On December 28, 2012, an investor alleged Craig Lewis failed to disclose information related to account management. The dispute settled for $293,265.95.

Craig Lewis Background Information

Craig Lewis has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination
• Series 63 Uniform Securities Agent State Law Examination
• Securities Industry Essentials Examination
• Series 31 Futures Managed Funds Examination
• Series 7 General Securities Representative Examination

He is a registered broker in 20 states and is a registered investment adviser In Maine, Massachusetts, and Texas.

Craig Lewis has worked with the following firms:

• Janney Montgomery Scott (CRD #: 463)
• UBS Financial Services (CRD #: 8174)
• Morgan Stanley (CRD #: 149777)
• Morgan Stanley & Co. (CRD #: 8209)
• Morgan Stanley (CRD #: 7556)
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)

Kurta Law Can Help

If you worked with Craig Lewis and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.