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

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

See Related Documents

Related Documents:

IA-2884 28-May-2009 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order as to J. David Huber

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In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management)
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