Tag Archives: Equinox

Equinox Securities and Staff Charged After Fraudulent Scheme Resulted in Massive Customer Losses

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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Former Direct Participation Programs Rep Barred by FINRA for Failure to Cooperate with FINRA Investigation

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 […]

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Former Direct Participation Programs Rep Named in Complaint for Failure to Cooperate in FINRA Investigation

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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