2019061232601 Alpine Securities Corporation CRD 14952 Decision sl (2022-1650673217530).pdf
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