Defendant Name:
J. David Huber
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of J. David Huber
First Document Date
28-May-2009
Initial Filing Format
Administrative Action
File Number
3-13492
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—Chairman at AmSouth Funds (1999—2005)
- Former: Director—Trustee at AmSouth Funds (1988—2005)
- Former: President at BISYS Fund Services Inc. (1996—March 1999)
- Former: Managing Director at BISYS Fund Services Inc. (April 1999—June 2005)
Violations Alleged
Related Violations Alleged
J. David Huber is alleged to have aided and abetted AmSouth Funds's violation of Sections 206(1), 206(2) Investment Advisers Act (willfully/knowingly).
Resolutions
First Resolution Date
28-May-2009
Headline Total Penalty and Disgorgement
$18,000
