Alana Marie Lewis of New London Wisconsin a stockbroker formerly employed by Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Lewis neglected to provide FINRA with a response to its request for her information. Case No. 2016051358201 (Jan. 2, 2018).
FINRA Public Disclosure confirms that Lewis was initially suspended on October 23, 2017. In those letters received concerning suspension, Lewis was reportedly informed that she had to request that her suspension be lifted by January 1, 2018, otherwise she would face a permanent bar. Lewis reportedly failed to respond to FINRA personnel by the deadline, resulting in her automatic bar.
Additionally, Lewis is subject of a customer initiated investment related written complaint on July 3, 2013, where the customer sought $7,130.00 in damages supported by accusations that the customer was incorrectly advised about the tax liability pertaining to the liquidation of the customer’s equity-indexed annuity issued by Allianz Life Insurance Company.
Lewis’ registration with Edward Jones has been terminated as of September 15, 2016.
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