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United States Securities and Exchange Commission v. Alpine Securities Corporation et al
Case Number:
2:22-cv-01279
Court:
Nature of Suit:
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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October 01, 2025
SEC Wins Case Over Alpine's 'Worthless' Penny-Stock Sales
The U.S. Securities and Exchange Commission has secured a win in Nevada federal court in its lawsuit accusing a Utah securities firm of violating federal anti-fraud provisions by transferring roughly $54 million in client assets from customer accounts to state unclaimed property accounts.
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August 11, 2022
SEC Sues Utah Securities Firm Over $54M Client Asset Move
A Utah securities firm faces U.S. Securities and Exchange Commission allegations that it violated federal anti-fraud provisions when it transferred roughly $54 million in client assets from client accounts to state unclaimed property accounts, the regulator has announced.