Alpine Securities Corporation

05/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060044708-01 TO: Department of Market Regulation NASD RE: Alpine Securities Corporation Broker-Dealer CRD No. 14952 Pursuant to Rule 9216 of NASD Code of Procedure, Alpine Securities Corporation (the "firm" or "ALPS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

Reference 2006004470801data-portal.finra.orgfinra.org

09/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050030784-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Alpine Securities Corporation, Respondent Broker-Dealer CRD No. 14952 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Alpine Securities Corporation (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2005003078402data-portal.finra.orgfinra.org

06/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057162401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alpine Securities Corporation (Respondent) Member Firm CRD No. 14952 Pursuant to FINRA Rule 9216, Respondent Alpine Securities Corporation submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2018057162401data-portal.finra.orgfinra.org

09/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120315074-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Alpine Securities Corporation, Respondent Broker-Dealer CRD No. 14952 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alpine Securities Corporation (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing

Reference 2012031507401finra.orgdata-portal.finra.org

11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008031801 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Alpine Securities Corporation, Respondent Broker-Dealer CRD No. 14952 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alpine Securities Corporation (the "firm" or "ALPS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2007008031801finra.orgdata-portal.finra.org

04/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050041 TO: Department of Market Regulation RE: Alpine Securities Corporation, Respondent Broker-Dealer CRD No. 14952 Pursuant to Rule 9216 of NASD Code of Procedure, Alpine Securities Corporation ("ALPS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future action

Reference CLG050041finra.orgdata-portal.finra.org

01/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090205458 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alpine Securities Corporation, Respondent CRD No. 14952 Pursuant to Rule 9216 of FINRA's Code of Procedure, Alpine Securities Corporation, ("Alpine Securities" or the "Firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009020545801data-portal.finra.orgfinra.org

08/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. DISCIPLINARY PROCEEDING NO. 2019061232601 FIRST AMENDED COMPLAINT The Department of Enforcement alleges SUMMARY 1. By late August 2018, Alpine Securities Corporation ("Alpine" or the "Firm"), in the face of significant and mounting financial difficulties, implemented a series of exorbitant and arbitrary fees.

08/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. Temporary Cease and Desist Proceeding No. TCDO190001 Hearing Officer-LOM TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent, the Hearing Panel issues this Temporary Cease and Desist Consent Order ("Order") pursuant to FINRA Rule 9840. It is understood and agreed by all the undersigned that the parties'

03/25/2025: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Alpine Securities Corporation, Salt Lake City, UT, Respondent. DECISION Complaint No. 2019061232601 Dated: March 25, 2025. Member charged an unreasonable and unfairly discriminatory fee, made unauthorized securities transactions, misused and converted customer assets, priced securities trades unfairly, and made an unauthorized capital withdrawal. Held, findings affirmed in part and modified, and sanctions modified.

03/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALPINE SECURITIES CORPORATION (CRD No. 14952), Respondent. Disciplinary Proceeding No. 2019061232601 Hearing Officer-CC EXTENDED HEARING PANEL DECISION March 22, 2022 Member firm Alpine Securities Corporation converted and misused customer funds and securities, engaged in unauthorized trading, charged and paid customers unfair prices in securities transactions, charged customers unreasonable and discriminatory

Reference 2019061232601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org