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June 05, 2017

United States Securities and Exchange Commission v. Alpine Securities Corporation

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Case Number:

1:17-cv-04179

See also:

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Denise L. Cote

Firms

Companies

Government Agencies

Sectors & Industries:

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

  1. September 13, 2019

    Broker Ordered To Pay $12M Over Sloppy SEC Reporting

    A Utah penny stock broker that repeatedly failed to file timely and detailed reports of suspicious transactions to regulators must pay a $12 million penalty, about half the sum sought by the U.S. Securities and Exchange Commission in the bitterly fought case, a New York federal judge has ruled.

3 other articles on this case. View all »

Parties

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