Defendant Name: FTN Financial Securities Corp.

Defendant Type: Subsidiary of Public Company
Public Company Parent: First Horizon National Corporation
SIC Code: 6021
CUSIP: 32051710

Initial Case Details

Legal Case Name In the Matter of FTN Financial Securities Corp.
First Document Date 17-Nov-2011
Initial Filing Format Administrative Action
File Number 3-14632
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Related Violations Alleged

FTN Financial Securities Corp. is alleged to have caused Sentinel Management Group, Inc.'s violation of Section 204(a), Rule 204-2(a)(6) Advisers Act.


First Resolution Date 17-Nov-2011
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-3316 17-Nov-2011 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
On November 17, 2011, the SEC instituted settled administrative and cease-and-desist proceedings against FTN Financial Securities Corp. According to the SEC: "The case concerns a transaction between FTN and Sentinel Management Group, Inc. ('Sentinel') through which FTN was a cause of Sentinel's failure to maintain true, accurate and current books and records relating to its securities transaction liabilities in its year-end 2006 financial statements, which were used by Sentinel as part of its fraud against its advisory clients."

Related Actions:

In the Matter of Stephen M. Folan
SEC v. Stephen M. Folan