CHRIS BLAINE PALKOWITSH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Equinox Securities, Inc. (CRD No. 145790) Stephen Michael Oliveira (CRD No. 1880054), and Chris Blaine Palkowitsh (CRD No. 3090435) Respondents. DISCIPLINARY PROCEEDING No. 2012031496501 ORDER ACCEPTING OFFER OF SETTLEMENT HEARING OFFICER: MJD Date: April 18, 2016 INTRODUCTION Disciplinary Proceeding No. 2012031496501 was filed on July 28, 2015, by the Department of Enforcernent of the
07/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Equinox Securities, Inc. (CRD No. 145790) Stephen Michael Oliveira (CRD No. 1880054), and Chris Blaine Palkowitsh (CRD No. 3090435) Respondents. DISCIPLINARY PROCEEDING No. 2012031496501 COMPLAINT The Department of Enforcement ("Department") alleges: I. SUMMARY 1. From November 2008 through June 2012, Equinox Securities, Inc. ("Equinox" or "Firm") representative Chris B. Palkowitsh ("Palkowitsh")
Reference 2012031496501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3090435

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