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U.S. S.E.C. v. ALPINE SECURITIES CORP.

17cv4179(DLC).

308 F.Supp.3d 775 (2018)

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

United States District Court, S.D. New York.

Signed March 30, 2018.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

For plaintiff United States Securities and Exchange Commission: Zachary T. Carlyle , Terry R. Miller , U.S. Securities and Exchange Commission, 1961 Stout Street, 17th Floor, Denver, CO 80294.

For defendant Alpine Securities Corporation: Maranda E. Fritz , Thompson Hine LLP, 335 Madison Avenue, 12th Floor, New York, NY 10017, Brent R. Baker , Aaron D. Lebenta , Jonathan D. Bletzacker , Clyde Snow & Sessions, One Utah Center, 201 South Main Street, Suite 1300, Salt Lake City, Utah 84111.

OPINION & ORDER

This litigation addresses the duty of a broker-dealer to file suspicious activity reports ("SARs"). The Securities and Exchange Commission ("SEC") alleges that Alpine Securities Corporation ("Alpine") has violated 17 C.F.R. §...

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