Defendant Name:
James Tambone
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. James Tambone and Robert Hussey
First Document Date
19-May-2006
Initial Filing Format
Civil Proceeding
Case Number
06-cv-10885
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
Massachusetts, District of Massachusetts
Affiliations
- Former: President at Columbia Funds Distributor, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
James Tambone is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
James Tambone is alleged to have aided and abetted Columbia Funds Distributor, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
James Tambone is alleged to have aided and abetted Columbia Funds Distributor, Inc.'s violation of Sec 15(c) of the Exchange Act.
James Tambone is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Sections 206(1), 206(2) Advisers Act.
Resolutions
First Resolution Date
Headline Total Penalty and Disgorgement
$250,511
Other Defendants in Action:
