PARIS M LEWIS (PARIS MONTE LEWIS), according to FINRA’s BrokerCheck, was previously registered both as a broker and as an investment advisor. Lewis was in the securities industry for 25 years and was listed with 3 firms. He is not currently registered.
FINRA’s BrokerCheck, available to the public on FINRA’s website, states that PARIS M LEWIS has four Disclosures on his FINRA CRD report. The most recent Disclosure is a pending “Customer Dispute” dated 9/10/2024. The allegations listed are, “The claimant alleges that beginning in 2019, there were withdrawals from her variable annuity without her knowledge and consent. The claim seeks compensatory damages of approximately $150,000, plus interest, fees, costs, and other damages.” The damage amount requested is $150,000.00.
On 12/22/2019, according to BrokerCheck, PARIS M LEWIS was “discharged” from NYLIFE SECURITIES LLC, due to the following allegations, “Mr. Lewis was terminated after he violated company policy by borrowing money from a customer. The company became aware of this matter when the company received a verbal customer complaint.” Lewis was with NYLIFE SECURITIES LLC in Downers Grove, Illinois, from 03/27/2015 - 01/21/2020.
There is another “Employment Separation after Allegations” on PARIS M LEWIS’ FINRA CRD report dated 2/26/2015, which listed him as being “discharged” from METLIFE, following the allegations of, “The registered representative did not follow firm policy with respect to outside business activities.” Lewis was with METLIFE SECURITIES INC of Downers Grove, Illinois, from 04/15/1994 - 03/12/2015.
According to FINRA Rule 3110, all firms are required to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
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