According to FINRA, Alpine Securities Corporation of Salt Lake City was recently fined $18,500 and required to revise its supervisory procedures regarding order handling, best execution, trade reporting, sales transactions, and the Order Audit Trail System (OATS). Without admitting to FINRA’s findings, Alpine Securities Corporation consented to findings that it failed to disclose correct information on customer confirmations.
According to Alpine Securities Corporation’s FINRA Broker Report, this is the not first time that the firm has been investigated by a regulatory. In fact, Alpine Securities Corporation’s FINRA Broker report indicates that the firm has been named in at least 30 regulatory events and one customer complaint related to securities fraud.
If you have questions about investments you made with Alpine Securities Corporation, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit https://whitesecuritieslaw.com.Tags: Alpine Securities Corporation, broker fraud, FINRA, investment losses, investor protection, NASD, Salt Lake City, SEC, securities arbitration, Securities Attorney, Securities Lawyer, Utah Last modified: July 17, 2015