Defendant Name:
Michael J. Willoughby
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Jeffrey C. Kuehr and Michael J. Willoughby
First Document Date
25-Jun-2014
Initial Filing Format
Administrative Action
File Number
3-15946
Allegation Type
Issuer Reporting and Disclosure
AAER
3560
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
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Rule 12b-20 of the Exchange Act.
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Sec 13(a) of the Exchange Act.
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Rule 13a-11 of the Exchange Act.
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Rule 13a-13 of the Exchange Act.
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Sec 13(b)(2)(A) of the Exchange Act.
Michael J. Willoughby is alleged to have caused Regions Financial Corporation's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
25-Jun-2014
Headline Total Penalty and Disgorgement
$70,000
Other Defendants in Action:
