Defendant Name: Melissa M. Hurley

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Melissa M. Hurley
First Document Date 28-May-2009
Initial Filing Format Administrative Action
File Number 3-13493
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Related Violations Alleged

Melissa M. Hurley 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 $35,569

Related Documents:

IA-2885 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 Melissa M. Hurley

Related Actions:

In the Matter of BISYS Fund Services, Inc.
BISYS Fund Services Inc.
In the Matter of J. David Huber
J. David Huber
In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management)
AmSouth Bank, N.A. (n/k/a Regions Bank)
AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management)