Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2017 indicate that Kansas-based St. Bernard Financial Services broker/adviser Kris Lewis has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lewis (CRD# 4505097).
Kris Lewis has spent fourteen years in the securities industry and has been registered with St. Bernard Financial Services in Wichita, Kansas since June 2016. Previous registrations include Voya Financial Advisors in Wichita, Kansas; Investment Professionals in Wichita, Kansas; and AXA Advisors in Wichita, Kansas. She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with two US states: Kansas and Oklahoma.
According to her BrokerCheck report, Kris Lewis has received one pending FINRA complaint and was discharged from a former employer in connection to alleged rule violations.
In March 2017 she was named in a FINRA complaint alleging she willfully failed to timely amend her Form U4 to disclose a reportable event. FINRA’s complaint states further: “Lewis knowingly provided false attestations on her member firm’s annual compliance questionnaire by denying a reportable event. Lewis also knowingly provided false information to FINRA on a FINRA, examination-related, personal activity questionnaire (PAQ) by denying a reportable event.” The complaint remains pending.
In 2015 she was terminated from her position at Voya Financial Advisors following allegations she “did not timely report a reportable event to the Firm.”
If you have lost money investing with Kris Lewis, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.