HOWARD CHARLES LEWIS

HOWARD CHARLES LEWIS is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 2680 E MAIN ST, STE 231, PLAINFIELD, IN, 46168.

HOWARD CHARLES LEWIS has worked at PFS INVESTMENTS INC. since May 17, 2013

Disclosure History

HOWARD CHARLES LEWIS has 8 Disclosure Event(s).

Date: July 16, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $1,528.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: May 27, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $285.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: November 03, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $1,354.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: March 24, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $1,819.00
Judgment/Lien Type: Civil
Broker Comment: CURRENTLY PAYING ON MONTHLY INSTALLMENT OF $50.00

Date: September 15, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $420.00
Judgment/Lien Type: Civil
Broker Comment: MAKING ARRANGEMENTS TO PAY DEBT AND RESOLVE THE ISSUE.

Date: October 17, 2007
Category: Judgment / Lien
Judgment/Lien Amount: $418.00
Judgment/Lien Type: Civil
Broker Comment: MAKING ARRANGEMENTS TO PAY IN FULL.

Date: July 25, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $370.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: March 26, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $999.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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