Defendant Name:
Robert Hussey
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: Director—Managing Director, National Accounts at Columbia Funds Distributor, Inc. (January 2002—March 2004)
- Former: Director—Managing Director, National Accounts at Liberty Funds Distributor, Inc. (January 2000—January 2002)
- Former: Senior Vice President at Liberty Funds Distributor, Inc. (1998—2002)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Robert Hussey is alleged to have aided and abetted Columbia Management Advisors, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Hussey is alleged to have aided and abetted Columbia Funds Distributor, Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Robert Hussey is alleged to have aided and abetted Columbia Funds Distributor, Inc.'s violation of Sec 15(c) of the Exchange Act.
Robert Hussey 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
See Related Documents
Other Defendants in Action:
