EQUINOX SECURITIES INC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Equinox Securities, Inc., CRD No. 145790, and Stephen Michael Oliveira (CRD No. 10880054), Respondents. Disciplinary Proceeding No. 2012031496501 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 11, 2016 INTRODUCTION Disciplinary Proceeding No. 2012031496501 was filed on July 28, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
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.orgdata-portal.finra.orgfinra.org
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