Bad Broker

This case demonstrates egregious misconduct where a failing firm essentially raided customer accounts to cover its financial difficulties

2022-05-01

My Bad Broker

imposing unreasonable fees and seizing customer assets without authorization."

Violation :

Conversion and misuse of customer funds and securities, unauthorized trading, unfair prices and unreasonable fees, unauthorized capital withdrawal

Tags :

Alpine Securities Corp.,

UT

CRD Number : 14488

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