Tag Archives: Stephen Michael Oliveira

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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The Equinox Securities Saga Continues

May 06, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

In July 2012, or in legal terms, a long time ago, at a place, not so far away, Redlands, California, a stockbroker, Chris B. Palkowitsh, of Equinox Securities, Inc. was charged by FINRA and thereaftyer terminated by his employer for doing bad things to his customers, including churning the daylights out of his customer accounts, in among […]

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