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Finra tried to ban firm for 60,000% fee hike. It hasn’t been easy
Alpine Securities' appeal of Finra's ban could threaten a web of self-regulatory organizations that oversee broad swaths of the U.S. economy.
Judge lets Finra proceed with enforcement action against broker
'If Finra doesn’t have the ability to enforce its own rules and discipline its members, then chaos will reign,' says PIABA President Hugh Berkson.
Barr wades in to join battle to cripple Finra
Former Trump Attorney General enters fight with other heavyweights on behalf of broker-dealer against Biden’s Justice Department.
Finra ‘looks forward’ to defending enforcement authority in court
A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality.
Finra expels Alpine Securities
A Finra hearing panel also ordered the Salt-Lake City broker-dealer to pay $2.3 million in restitution.
