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

17cv4179(DLC).

354 F.Supp.3d 396 (2018)

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

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

Signed December 11, 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, 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

Procedural History ... 405

Background ... 406

I. The Low-Priced Securities Market...406

II. Alpine's Business ...408

III. 2011-2012 FINRA Examination...408

IV. Alpine's Improvements of its AML Program and SAR Filing Program ... 409

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