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Violation Tracker Individual Record

Company: AmSouth Investment Services Inc.
Current Parent Company: Regions Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
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Penalty: $225,000
Year: 2004
Date: March 26, 2004
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: AmSouth agreed to pay a total of $225,000 to regulators in Alabama and Mississippi to resolve a case involving deceptive practices by one of its broker-dealers.
Level of Government: state
Action Type: agency action
Agency: Multistate Financial Regulators Case
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Alabama
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.