Tag Archives: Equinox Securities

Equinox Expelled And Chief Executive Officer Barred For Fraud

May 26, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Equinox Securities, based in Redland, California, was expelled as a Financial Industry Regulatory Authority (FINRA) member firm, and the firm’s chief executive officer, Stephen Michael Oliveira, was permanently barred from associating with any FINRA member firm in a principal capacity, in connection with an Order Accepting Offer of Settlement containing findings that Equinox excessively traded […]

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