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Alpine Securities filed suit against FINRA, arguing it is unconstitutional, and some securities attorneys worry about consequences if the firm is successful.
Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.
Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.
FINRA has expelled Utah broker Alpine Securities from membership, and also ordered the firm to pay more than $2.3 million in restitution for customers.
Nick thank you. let's look at what is coming up on new day. alisyn joins us. >> thank you. great to see you. isis claiming responsibility for the attack on the museum in tunisia. our terrorism expert says not so fast. the already strained relationship with president obama and israeli prime minister benjamin netanyahu getting more complicated this morning. the president saying the u.s. needs to reassess the relationship after netanyahu's comments on palestinian statehood. how much damage has been done and what does all this mean? we will bring all of that to you at the top of the hour when mi...