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United States Securities and Exchange Commission v. Alpine Securities Corporation
Case Number:
1:17-cv-04179
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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.
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June 11, 2019
Brokerage Firm Fights 'Draconian' SEC Bid For $23M Penalty
Alpine Securities Corp. on Monday fiercely challenged a bid by the U.S. Securities and Exchange Commission to secure a $22.7 million penalty against it for improperly filed suspicious activity reports, telling a New York federal court that the SEC was unfairly "seeking a corporate death penalty."
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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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April 02, 2018
Broker Fails To Beat SEC Suit Over Sloppy Activity Reports
A Manhattan federal judge gave the U.S. Securities and Exchange Commission a partial victory in its suit against a brokerage firm that allegedly failed to file clear and timely Suspicious Activity Reports, ruling Friday that a sample of SARs the agency flagged were "woefully inadequate."