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