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1manband

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1manband

Re: None

Thursday, 08/11/2022 10:41:02 AM

Thursday, August 11, 2022 10:41:02 AM

Post# of 220968
SEC Charges Broker-Dealer and Two Employees with Engaging in Unauthorized Securities Transactions

Litigation Release No. 25465 / August 10, 2022

Securities and Exchange Commission v. Alpine Securities Corp., et al., No. 2:22-cv-01279 (D. Nev. filed August 10, 2022)

This is interesting, as it is already subject to an ongoing FINRA case, and is in addition to the multiple administrative cases the SEC already has going against Alpine. I guess the SEC thought they were taking too long, and decided to take action before Alpine goes out of business and the money disappears forever.

https://www.sec.gov/litigation/litreleases/2022/lr25465.htm
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