Defendant Name:
Mark A. Beeson
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson
First Document Date
29-Jun-2004
Initial Filing Format
Administrative Action
File Number
3-11530
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: CEO at One Group Mutual Funds (January 2000—October 2003)
- Former: Managing Director at One Group Mutual Funds (January 2000—October 2003)
Violations Alleged
Related Violations Alleged
Mark A. Beeson is alleged to have aided and abetted
Banc One Investment Advisors Corporation's violation of Section 204A, 206(1), 206(2) Advisers Act; Section 17(d), 34(b), Rule 17d-1 Investment Company Act (willfully/knowingly).
Mark A. Beeson is alleged to have caused
Banc One Investment Advisors Corporation's violation of Section 204A, 206(1), 206(2) Advisers Act; Section 17(d), 34(b), Rule 17d-1 Investment Company Act (willfully/knowingly).
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 2 years
- "For three years from the date of the Order, Beeson: 1. Shall not serve as an employee, officer, or director of any registered investment company; and 2. Shall not serve as a chairman, director, or officer of any investment adviser" for 3 years
First Resolution Date
29-Jun-2004
Other Defendants in Action:
