FINRA Expels Utah Broker, Orders $2.3 Million in Restitution –

Mar 31, 2022

FINRA Expels Utah Broker, Orders $2.3 Million in Restitution  Wealth Management
A panel asserted that Alpine Securities had misused customer funds and securities, made unauthorized trades and charged customers unreasonable fees, while the firm argued it needed to raise fees to offset lower profits.

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Author: Wealth Management

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FINRA News and Information compiled by Costello Law Group. See source for full story.

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