DEBORAH DEL LEWIS is currently employed as a Broker and/or Investment Adviser at TRIAD ADVISORS LLC located at 1056 LAUREL RIDGE, BLUE RIDGE, GA, 30513.
DEBORAH DEL LEWIS has worked at TRIAD ADVISORS LLC since May 25, 2012
Disclosure History
DEBORAH DEL LEWIS has 2 Disclosure Event(s).
Date: October 18, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY WITH REGARD TO MUTUAL FUNDS IN 2004. Settlement Amount: $144,000.00 Broker Comment: THE SETTLEMENT AMOUNT OF 144,000.00 RELATES TO CLAIMS OF MULTIPLE CLAIMANTS AND SEVERAL DIFFERENT BROKERS.
Date: December 05, 2001 Category: Regulatory Initiated By: STATE OF ALABAMA DEPARTMENT OF INSURANCE Allegations: CLAIM ALLEGES PROVIDING MISINFORMATION ON A LICENSE APPLICATION. Resolution: Order SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: STATE OF ALABAMA DEPARTMENT OF INSURANCE Duration: TWO YEARS Duration Explanation: AS OF 12/05/2001 DATE THAT THE LICENSE WAS SUPENDED AND AS OF 12/09/2003 THE DATE OF THE LETTER FROM ALABAMA DEPARTMENT OF INSURANCE THAT INCLUDED A SETTLEMENT AND AGREEMENT OREDER TO REINSTATE MS. LEWIS' LICENSE Start Date: 12/5/2001 End Date: 12/9/2003 Broker Comment: MS LEWIS' LICENSE WAS SUSPENDED ONLY BECAUSE OF A FAILURE TO RENEW IN A TIMELY MANNER. THERE WERE NO VIOLATIONS OF SALES PRACTICE REGULATIONS. MS. LEWIS RESPONDED 'NO' TO QUESTION NUMBER 3 ON THE ALABAMA "DEPARTMENT OF INSURANCE" (DOI) FORM THAT READS - "HAVE YOU EVER HAD AN INSURANCE LICENSE DENIED, SUSPENDED OR REVOKED BY ANY INSURANCE DEPARTMENT OR HAD A COMPLAINT ISSUED AGAINST YOU BY AN INSURANCE DEPARTMENT?". MS. LEWIS WAS NOT AWARE THAT LICENSE EXPIRATION UPON NON-RENEWAL CONSTITUTED A SUSPENSION; THEREFORE, SHE IMPROPERLY ANSWERED THE QUESTION ON HER LICENSE RENEWAL FORM.
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