SEC charges Alpine Securities, former CEO with violating antifraud provisions
The SEC has brought charges against Alpine Securities, its former CEO Christopher Doubek, and its current COO Joseph Walsh.
The SEC has brought charges against Alpine Securities, its former CEO Christopher Doubek, and its current COO Joseph Walsh.
FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer Alpine Securities Corp. from FINRA membership.
Alpine Securities has agreed to a fine and a censure as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Alpine has withdrawn its motion for preliminary injunction against FINRA in a legal dispute over Zoom hearing.
Alpine Securities takes FINRA to court after being ordered to use Zoom as part of disciplinary proceedings.