Defendant Name: Arthur W. Lewis

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Arthur W. Lewis
First Document Date 23-Jul-2015
Initial Filing Format Administrative Action
File Number 3-16700
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Securities Act
• Sec 5
• Sec 5(a)
• Sec 5(c)
Other
• Securities Enforcement Empirical Database (SEED) - Publication Review

Resolutions

Bars:
First Resolution Date 23-Jul-2015
Headline Total Penalty and Disgorgement $50,000

Related Documents:

33-9869 23-Jul-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Initial Proceeding

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