Thea Rae Lewis at CHARLES SCHWAB & CO., INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 3123685

Disclosure #1 for Thea Lewis

    • eventDate: 4/8/2019
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: Customer alleges that she has an additional tax bill of $10,000 due to the advice given by the representative regarding a rollover from an employer 401k account to an individual retirement account.
    • Damage Amount Requested: $10,000.00
    • Arbitration Docket Number:
    • Broker Comment: Schwab’s internal review determined that the claim had no merit and was denied. Per the Schwab Account Agreement, Schwab does not give tax advice, but we may provide clients with general tax information and principles. During Schwab’s review of the claim, client disclosed that the tax liability incurred was due to a transaction performed at a firm outside of Schwab which was never disclosed to me. Schwab does not advise on assets held outside of Schwab.

Should I file a FINRA complaint against brokers like Thea Rae Lewis?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by Thea Rae Lewis’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About Thea Rae Lewis

What is Thea Lewis’s Central Registration Depository (CRD) Number?

Which firm is Thea Rae Lewis associated with?


Where is Thea Lewis located?

16 Corporate Plaza Dr, Newport Beach, CA, 92660

Where can I find more details about Thea Lewis’s Investment Firm?

Visit to read a detailed report for CHARLES SCHWAB & CO., INC.

Are there any disclosures, allegations or complaints filed against Thea Rae Lewis?

Yes. There are disclosures, allegations, or complaints filed against Thea Rae Lewis. Click here to view all details

Where can I download a detailed FINRA report for Thea Lewis?

Click here to download a detailed FINRA report for Thea Lewis

Is it safe to do business with Thea Rae Lewis?

We’re not sure. Please research Thea Lewis’s disclosures, allegations and complaints before taking a decision

Originally reported on November 16, 2022 @ 12:38 am

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