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June 05, 2017
Securities and Exchange Commission v. Alpine securities Corporation
Case Number:
7:17-cv-04179
See also:
Court:
Nature of Suit:
Government Agencies
View recent docket activity
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
Coverage
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June 05, 2017
SEC Says Utah Brokerage Didn't Report Suspicious Activity
The U.S. Securities and Exchange Commission filed a lawsuit in a New York federal court on Monday charging brokerage firm Alpine Securities Corp. with thousands of violations related to suspicious activity reports that the agency says were lacking "red flag" information or not prepared at all.
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