0001794508-21-000003.txt : 20210827
0001794508-21-000003.hdr.sgml : 20210827
20210827103247
ACCESSION NUMBER: 0001794508-21-000003
CONFORMED SUBMISSION TYPE: TA-1/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20210809
DATE AS OF CHANGE: 20210827
EFFECTIVENESS DATE: 20210819
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Equa Transfer, LLC
CENTRAL INDEX KEY: 0001794508
IRS NUMBER: 833489293
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: TA-1/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 084-06669
FILM NUMBER: 211215031
BUSINESS ADDRESS:
STREET 1: 1875 LAWRENCE ST.
STREET 2: SUITE 1150
CITY: DENVER
STATE: CO
ZIP: 80202
BUSINESS PHONE: (720) 336-8100
MAIL ADDRESS:
STREET 1: 1875 LAWRENCE ST.
STREET 2: SUITE 1150
CITY: DENVER
STATE: CO
ZIP: 80202
TA-1/A
1
primary_doc.xml
X0405
TA-1/A
0001794508
XXXXXXXX
084-06669
true
LIVE
SEC
Equa Transfer, LLC
365072
1499 W 120th Ave.
Suite 110
WESTMINSTER
CO
80234
N
720-346-3679
N
N
N
N
Other
Josef Schaible
12/26/2018
Chief Compliance Officer
Authority for TA compliance with fed law
03/31/2021
Stephanie Vaughan Weichsel
10/01/2020
Chief Operating Officer
Responsible for Operations
Shawn Owen
12/26/2018
Sole Member
Owner
limited liability company
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
Josef Schaible
Auto Aftermarket Securities, LLC v. Josef Schaible
09/09/2020
FINRA, Tampa, FL
The action pertained to the alleged breach of the terms of an Independent Contractor Agreement by Mr. Schaible by allegedly failing to perform his core duties as Supervisory Principal, Chief Compliance Officer, Anti-Money Laundering Compliance Officer, and Financial Operations Principal.
Schaible is required to pay $49,300 in compensatory damages, prejudgement interest on $34,800, nonrefundable FINRA filing fees, and various other fees. Schaible has been suspended from acting as a broker for failure to comply with an arbitration award.
N
N
N
Y
Josef Schaible
Auto Aftermarket Securities, LLC v. Josef Schaible
09/09/2020
FINRA, Tampa, FL
The action pertained to the alleged breach of the terms of an Independent Contractor Agreement by Mr. Schaible by allegedly failing to perform his core duties as Supervisory Principal, Chief Compliance Officer, Anti-Money Laundering Compliance Officer, and Financial Operations Principal.
Schaible is required to pay $49,300 in compensatory damages, prejudgement interest on $34,800, nonrefundable FINRA filing fees, and various other fees. Schaible has been suspended from acting as a broker for failure to comply with an arbitration award.
Stephanie Vaughan Weichsel
917-519-1370
Chief Operating Officer
08/06/2021