Goodman & Nekvasil P.A, May Recover Investor Losses – Craig Edward Lewis (Craig Lewis) Formerly Licensed with VALIC Financial Advisors, Inc., Barred from the Securities Industry
From 2012 until 2016, Craig Lewis was licensed with VALIC Financial Advisors, Inc.
FINRA brought a disciplinary action against Craig Lewis in 2017. Craig Lewis consented to a bar from the securities industry. Craig Lewis consented to the entry of findings that Craig Lewis refused to appear for FINRA on-the-record testimony after FINRA discovered additional evidence following Craig Lewis’s first on-the-record testimony reflecting that Craig Lewis may have engaged in undisclosed outside business activity by selling equity indexed annuities through a third-party life insurance company to several customers of Craig Lewis’s member firm.
FINRA reports an arbitration claim/complaint was filed alleging sales practice violations against Craig Lewis. The allegations included, having a client open an online brokerage account away from Craig Lewis’s employing broker-dealer, placing trades in the account using the client’s username and password, and informing the client that her money would be safe when in fact the account significantly decreased in value of the next eight months. The claim/complaint was settled.
If you lost any money on investments with Craig Lewis, you may be able to recover your losses from VALIC Financial Advisors, Inc. This is because VALIC Financial Advisors, Inc. had a duty to supervise Craig Lewis.
If you lost money on investments with Craig Lewis, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against VALIC Financial Advisors, Inc. concerning Craig Lewis’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on any investments with Craig Lewis and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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