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The SRO expelled Alpine Securities and ordered the firm to pay $2.31 million in restitution to clients.
FINRA, the self-regulatory organization (SRO) for broker-dealers, has expelled Alpine Securities Corp. for its alleged misconduct. An attorney representing Alpine Securities, replying to questions from FTF News, took issue with FINRA’s finding, saying, “Alpine will be appealing the decision and, pursuant to applicable regulations, will continue to operate while the decision is reviewed.” Expulsion is,...
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