News

JD Supra5h
U.S. Supreme Court Denies Alpine’s Petition Challenging Constitutionality of FINRA Enforcement Proceedings
On June 2, 2025, the U.S. Supreme Court denied a petition for writ of certiorari filed by Alpine Securities Corp. in Alpine Securities Corp.
Investment Executive7h
FINRA seeks to go slower on sanctions
In a decision handed down in November 2024, a U.S. district court ruled that FINRA couldn’t immediately expel a firm, Alpine ...
Financial Planning23h
FINRA panel slaps Arax-owned firm over investment recommendations
Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more ...