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 Law Offices of David A. Carter, P.A. may be able to help. The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. David Carter is a securities attorney that reviews securities fraud cases throughout the country and Florida. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at www.carterpa.com.