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Articles Posted in Utah

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SEC Charges Broker-Dealer for Violations Relating to Suspicious Activity Report Filings

On June 5, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the Southern District of New York against Alpine Securities Corporation (“Alpine”), a Salt Lake City-based broker-dealer.  The complaint alleges that Alpine failed to file Suspicious Activity Reports (“SARs”) in the…

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Wells Fargo Seeks to Compel Arbitration to Prevent Fake Account Lawsuits

On November 23, 2016, Wells Fargo successfully defended a class action lawsuit relating to the recent fake account scandal, Mitchell v. Wells Fargo Bank NA.  This class action lawsuit, filed by three Wells Fargo customers in the United States District Court for the District of Utah, called for at least…

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