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UNITED STATES S.E.C. v. ALPINE SECURITIES CORP.

17cv4179(DLC).

413 F.Supp.3d 235 (2019)

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

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

Filed September 26, 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

For the plaintiff: Zachary T. Carlyle, Terry R. Miller, U.S. Securities and Exchange Commission, 1961 Stout Street, 17th Floor, Denver, CO 80294.

For the defendant: Maranda E. Fritz, Thompson Hine LLP, 335 Madison Avenue, 12th Floor, New York, NY 10017, Brent R. Baker, Aaron D. Lebenta, Jonathan D. Bletzacker, Clyde Snow & Sessions, One Utah Center, 201 South Main Street, Suite 1300, Salt Lake City, Utah 84111.

AMENDED 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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