Replies to post #139291 on Aero Performance Products Inc (fka AERP)

[Agent1107]

Alpine Securities Corporation (CRD # 14952) – Broker-dealer Registration Denied

"On July 14, 2006, the Banking Commissioner entered an Order Denying Registration as Broker-dealer (Docket No. ND-2006-"7246-S) with respect to Alpine Securities Corporation of 440 East 400 South, Suite 200, Salt Lake City, Utah."

"The respondent had been the subject of a May 19, 2006 Notice of Intent to Deny Registration as Broker-dealer predicated on multiple sanctions imposed against the respondent by the National Association of Securities Dealers, Inc. between 2001 and 2005, including fines imposed for failing to implement effective anti-money laundering procedures and failing to exercise supervisory controls. In denying the respondent’s broker-dealer registration, the Commissioner incorporated as findings the allegations made in the May 19, 2006 Notice of Intent to Deny Registration as Broker-dealer. Although the respondent had initially requested a hearing on the Notice of Intent to Deny Registration as Broker-dealer, that request was later withdrawn."