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U.S. SECURITIES & EXCH. COM'N v. ALPINE SECURITIES

No. 19-3272 August Term, 2019.

982 F.3d 68 (2020)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. ALPINE SECURITIES CORPORATION, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided: December 4, 2020.

Attorney(s) appearing for the Case

Rachel M. McKenzie , Senior Counsel ( Michael A. Conley , Solicitor; Daniel Staroselsky , Senior Litigation Counsel, on the brief), for Robert B. Stebbins , General Counsel, Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee.

Maranda Fritz , Thompson Hine LLP, New York, NY ( Brent R. Baker , Jonathan D. Bletzacker , Aaron D. Lebenta , Clyde Snow & Sessions, Salt Lake City, UT, on the brief) for Defendant-Appellant.

Before: Walker, Cabranes, and Sack, Circuit Judges.

The Securities and Exchange Commission (SEC) filed a civil enforcement action against Alpine Securities Corporation (Alpine), a registered broker-dealer specializing in penny stocks and micro-cap securities. The SEC claimed that Alpine's failure to comply with the reporting requirements for filing Suspicious Activity...

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