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June 5, 2017

United States Securities and Exchange Commission v. Alpine Securities Corporation

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Case Number:



New York Southern

Nature of Suit:



Denise L. Cote



Government Agencies

Sectors & Industries:

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.


  1. December 12, 2018

    SEC Mostly Victorious In Suit Over Sloppy Action Reports

    A New York federal judge gave the U.S. Securities and Exchange Commission a partial win Tuesday in its suit against a brokerage firm that allegedly failed to file adequate and timely Suspicious Activity Reports, ruling the majority of SARs flagged by the agency contained "deficient narratives."

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