Legal Opinion
U.S. Sec. & Exch. Comm'n v. Alpine Sec. Corp.
District Court, S.D. Illinois
Decided March 30, 2018No. 17cv4179(DLC)PublishedCited by 8 opinions
1Opinion of the Court
DENISE COTE, District Judge:
*781This litigation addresses the duty of a broker-dealer to file suspicious activity reports ("SARs"). The Securities and Exchange Commission ("SEC") alleges that Alpine Securities Corporation ("Alpine") has violated 17 C.F.R. § 240.17a-8 ("Rule 17a-8"), promulgated under the Securities Exchange Act of 1934 (the "Exchange Act"), by filing fatally deficient SARs or by failing to file any SAR when it had a duty to do so. Rule 17a-8 requires compliance with Bank Secrecy Act ("BSA") regulations that, inter alia, govern the filing of SARs by broker-dealers.
Because the SEC…
2Cases cited26 opinions
- Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.Supreme Court of the United States · 1984
- Skidmore v. Swift & Co.Supreme Court of the United States · 1944
- Securities & Exchange Commission v. Chenery Corp.Supreme Court of the United States · 1947
- United States v. Mead Corp.Supreme Court of the United States · 2001
- Auer v. RobbinsSupreme Court of the United States · 1997
21 more not listed; retrieve them via the Exa API.
3Cited by8 opinions
- U.S. Sec. & Exch. Comm'n v. Alpine Sec. Corp.District Court, S.D. Illinois · 2018
- Sec. & Exch. Comm'n v. Longfin Corp.District Court, S.D. Illinois · 2018
- SEC v. Alpine Secs. Corp.Court of Appeals for the Second Circuit · 2019
- Scottsdale Capital Advisors v. USSECCourt of Appeals for the Tenth Circuit · 2026
- Securities and Exchange Commission v. Terraform Labs Pte Ltd.District Court, S.D. New York · 2023
3 more not listed; retrieve them via the Exa API.