Haselkorn & Thibaut (investmentfraudlawyers.com), a nationally recognized securities and investment fraud law firm, has initiated an investigation into **Charles Lewis**, a financial advisor formerly registered with **Wells Fargo Clearing Services, LLC**. If you are an investor who worked with Charles Lewis, now is a crucial time to understand the facts surrounding his regulatory history, potential red flags, and your options to protect your interests. Haselkorn & Thibaut offers a free, confidential consultation for clients and charges no fees unless there is a recovery—contact us today at 1 888-885-7162.
Who Is Charles Lewis, Formerly With Wells Fargo Clearing Services, LLC?
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**Charles Lewis** served as a Registered Representative at Wells Fargo Clearing Services, LLC, from January 2018 until June 2023. During this time, he was licensed with the Series 7 and Series 63 professional examinations, establishing his ability to advise on securities products. Recently, his registration status has become inactive, a change that coincides with a pending regulatory matter.
Regulatory Action: A Key Disclosure Investors Should Know
According to data from FINRA BrokerCheck and public records, Charles Lewis has one reported regulatory disclosure. The details of such disclosures are essential, as they often reveal important information about an advisor’s professional conduct:
| Disclosure Type | Date | Allegation | Status |
|---|---|---|---|
| Regulatory Action | 2023-07-15 | FINRA made a preliminary determination to recommend disciplinary action for submitting falsified expense reimbursement requests and falsification of documents, violating FINRA rules and firm policies. | Pending |
This disclosure centers on allegations that Charles Lewis submitted falsified expense reimbursement requests while at Wells Fargo. Although the resolution remains pending, the nature of these alleged actions is important for investors to consider, as it involves the potential misrepresentation of documents and violations of established regulatory and corporate policies.
Key Red Flags Investors Should Watch For
Understanding red flags in your advisor’s background can help you take a proactive stance in protecting your investments. Here are specific items related to Charles Lewis:
- Regulatory Action: A formal complaint for falsification of expense reports is significant, especially when it’s subject to further investigation by FINRA, the regulatory body overseeing broker-dealers and their representatives.
- Documentation Issues: The alleged misconduct involves document falsification, which can impact investor trust and firm compliance standards.
- Status Change: The status of his registration changed to inactive shortly before the disclosure, a timing that may not be coincidental and could affect ongoing client relationships.
A Complete List of Complaints Against Charles Lewis
Based strictly on available public records and regulatory filings, Charles Lewis has one reported disclosure of regulatory action and no other customer complaints, arbitration cases, or financial disputes reported as of the date this report was generated. Investors can review his public BrokerCheck profile for periodic updates.
This regulatory disclosure remains open and unresolved (“Resolution: Pending”). Investors should continue to monitor this matter, as the outcome could have implications for client recourse and firm oversight.
Why Haselkorn & Thibaut Is Investigating
With over five decades of combined experience and a proven track record (98% success rate and millions recovered for clients), Haselkorn & Thibaut is dedicated to helping investors navigate the complexities of securities law and protect their rights. The current investigation into Charles Lewis is aimed at helping clients understand whether their accounts have been affected and what legal remedies may be available under securities law and industry regulations.
We maintain a strictly confidential approach and encourage all affected investors to take advantage of a free consultation to discuss their unique circumstances.
What Should You Do If You Invested With Charles Lewis in Florida?
If you have worked with Charles Lewis in Florida or through Wells Fargo Clearing Services, LLC, consider the following steps:
- Review Your Account Statements: Look for any unauthorized transactions or unusual expense charges.
- Document Any Concerns: Gather all communications, documents, or disclosures received from Charles Lewis and the firm.
- Contact Haselkorn & Thibaut: Reach out for a no-cost, confidential case review at 1 888-885-7162.
How Haselkorn & Thibaut Can Help You
If you have concerns regarding your investments or the professional conduct of Charles Lewis, our firm’s experience and client-focused approach could be the resource you need. Here is what we offer:
- Over 50 years of combined securities law experience
- 98% success rate in client matters
- Millions recovered for investors nationwide
- No recovery, no fee
- Strict confidentiality and personalized attention
Haselkorn & Thibaut is here to help you make informed decisions. Reach out today at 1 888-885-7162 for your free, confidential consultation, and let our national team review your options and potential claims. Your financial well-being is our top priority.
