Defendant Name:
Thomas A. Neely, Jr.
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Thomas A. Neely, Jr.
First Document Date
25-Jun-2014
Initial Filing Format
Administrative Action
File Number
3-15945
Allegation Type
Issuer Reporting and Disclosure
AAER
3559
Affiliations
- Former: Executive Vice President at Regions Financial Corporation (Until November 30, 2010)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 20(b) Exchange Act; Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Thomas A. Neely, Jr. is alleged to have aided and abetted Regions Financial Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Rule 12b-20 of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Sec 13(a) of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Rule 13a-11 of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Rule 13a-13 of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Thomas A. Neely, Jr. is alleged to have aided and abetted Regions Financial Corporation's violation of Sec 17(a) (Not specified) of the Securities Act.
Thomas A. Neely, Jr. is alleged to have caused Regions Financial Corporation's violation of Sec 17(a) (Not specified) of the Securities Act.
Resolutions
First Resolution Date
