Matthew Joel Levitt Allegedly Failed to Respond to a FINRA Investigation Regarding an Investigation Into Possible Violations of the Securities Rules

Matthew Joel Levitt Allegedly Failed to Respond to a FINRA Investigation Regarding an Investigation that He Had Violated Securities Rules

Matthew Joel Levitt allegedly failed to respond to a FINRA investigation regarding whether he violated securities rules and regulations, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).

The AWC notes that Matthew Levitt was a financial advisor and registered representative of Equinox Securities, Inc. from March 2013 to November 2013, where he worked at a branch office in Redlands, California.

Matthew Joel Levitt Barred from Associating in Any Capacity with any FINRA Member Firm

Levitt received FINRA staff requests to provide information regarding FINRA Rules in connection with a FINRA investigation into whether there were violations of NASD and/or FINRA Rules related to the offer and sale of certain securities between approximately April 2013 and August 2013, according to the AWC.

Levitt told the FINRA staff that he would neither appear nor provide sworn testimony on April 28, 2015, and hence, violated FINRA Rules, the AWC notes.

As a result, Levitt has been barred by FINRA from associating in any capacity with any FINRA Member Firm, the AWC reports.

The Peiffer Rosca Wolf Investor Rights Lawyers Working to Help Investors

The Peiffer Rosca Wolf investor rights lawyers often represent investors who lose money as a result of alleged broker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of broker misconduct may contact the investor rights lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Broker: Matthew Joel Levitt

Status: INVESTIGATED by Peiffer Rosca.

For brokercheck report and additional info click here!

Alan Rosca (1157 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.