Equinox Securities, a FINRA registered broker-dealer since April 2008 headquartered in Redlands, CA, offers general securities to the public via 27 FINRA registered representatives. The Firm, along with President/CCO Stephen Michael Oliveira, and registered representative Chris Blaine Palkowitsh, were charged by FINRA Department of Enforcement in a Complaint containing allegations that Palkowitsh and Equinox excessively […]
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Tag Archives: Equinox
Equinox Securities and Staff Charged After Fraudulent Scheme Resulted in Massive Customer Losses
August 10, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Securities Fraud, Selling Away and Outside Activities | 0 Comments
Former Direct Participation Programs Rep Barred by FINRA for Failure to Cooperate with FINRA Investigation
August 10, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Matthew Joel Levitt of Redlands, CA, a former direct participation programs representative with Equinox Securities, Inc., was barred from association with any FINRA registered firm in all capacities after Levitt failed to cooperate with a FINRA investigation concerning Levitt’s offered and sale of securities while employed with Equinox in violation of NASD, FINRA, and federal […]
Read More »Former Direct Participation Programs Rep Named in Complaint for Failure to Cooperate in FINRA Investigation
August 10, 2015 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Lee R. Sobel of Redlands, CA, a former direct participation programs representative with Equinox Securities, Inc., was charged by FINRA Department of Enforcement in a Complaint containing allegations that Sobel failed to appear for an on-the-record interview in connection with FINRA’s investigation of Sobel’s offer and sale of private placements during his employment with Equinox […]
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