R. Nolan Lewis (CRD #: 6662741) faced termination from Fidelity Brokerage Services due to allegations made by the firm. This disclosure is detailed in his BrokerCheck record, accessed on September 8, 2023. Continue reading if you seek clarification regarding the accusations against him.
Fidelity Brokerage Services took the decision on July 20, 2023, to terminate R. Nolan Lewis based on claims that he falsely stated that two client conferences had been canceled by the clients, when, in fact, they had not been. The firm alleges that these purported cancellations were an attempt to prevent others within the firm from observing the conferences as originally planned.
FINRA Rule 2010: Brokers are bound by the stringent principles outlined in FINRA Rule 2010, which mandate high standards of commercial honor and just and equitable principles of trade. Making false claims about client cancellations may constitute a breach of this rule.
Background Information: Nolan Lewis has successfully completed the following examinations:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He has been associated with the following firms:
- Fidelity Brokerage Services (CRD #: 7784)
- Equitable Advisors (CRD #: 6627)