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U.S. SECURITIES AND EXCHANGE COMMISSION v. ALPINE SECURITIES CORPORATION

No. 17cv4179 (DLC).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ALPINE SECURITIES CORPORATION, Defendant.

United States District Court, S.D. New York.

September 12, 2019.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

United States Securities and Exchange Commission, Plaintiff, represented by Terry Ryan Miller , U.S. Securities and Exchange Commission & Zachary Todd Carlyle , U.S. Securities and Exchange Commission.

Alpine Securities Corporation, Defendant, represented by Aaron D. Lebenta , Clyde Snow & Sessions, Brent Richard Baker , Clyde Snow & Sessions, Jonathan D. Bletzacker , Clyde Snow & Sessions, Maranda E. Fritz , Thompson Hine LLP & Mark Lee Smith , Smith Washburn LLP, pro hac vice.

REDACTED OPINION AND ORDER

Plaintiff United States Securities and Exchange Commission ("SEC") seeks an injunction and imposition of $22,736,000 in civil penalties against defendant Alpine Securities Corporation ("Alpine") for Alpine's 2,720 violations of its obligation to file suspicious activity reports (...

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