Gregory Antonius Lewis of New York New York a stockbroker currently registered with Stockkings Capital LLC is referenced in a Financial Industry Regulatory Authority (FINRA) investigation regarding allegations of Lewis possibly misusing customer funds and effecting unsuitable transactions in customer accounts. Case No. 20190606487 (Dec. 16, 2019).
FINRA Public Disclosure reveals that Department of Enforcement might pursue disciplinary action against Lewis for his possible conversion of customer funds in violation of FINRA Rules 2010 and 2150. The regulator also alleged that Lewis possibly made omissions or misrepresentation in regard to securities transactions in violation of Securities Exchange Act of 1934 Section 10(b), SEC Rule 10b-5, Securities Act of 1933 Section 17(a)(2) and 17(a)(3), and FINRA Rules 2010 and 2020.
Lewis also might face disciplinary action for possibly effecting unsuitable transactions in customer accounts in violation of FINRA Rules 2010 and 2111. The regulator additionally indicated that Lewis possibly forged documents in violation of FINRA Rules 2010 and 4511.
FINRA Public Disclosure reveals that Lewis has been identified in three customer initiated investment related disputes containing accusations of his wrongdoing while registered with Continental Broker Dealer Corp. A customer initiated investment related FINRA securities arbitration claim concerning Lewis’s conduct was resolved for $24,999.00 in damages supported by allegations that unauthorized trades were effected in the Continental customer’s account.
Lewis is the subject of another customer initiated investment related written complaint in which the customer sought $20,600.00 in damages founded on accusations that misrepresentations had been made by the stockbroker. Another customer initiated investment related FINRA securities arbitration claim involving Lewis’s activities was settled for $125,000.00 in damages based upon allegations of the stockbroker misrepresenting information relating to the customer’s investments at Continental.
Lewis has been registered with Stockkings since June 21, 2013.