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.
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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.
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