Defendant Name:
Mary S. Stone
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III
First Document Date
10-Dec-2012
Initial Filing Format
Administrative Action
File Number
3-15127
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—Audit Committee at RMK High Income Fund, Inc. (2003—2007)
- Former: Director—Independent Director at RMK High Income Fund, Inc. (2003—2007)
Violations Alleged
Related Violations Alleged
Mary S. Stone is alleged to have caused RMK High Income Fund, Inc.'s violation of Rules 22c-1, 30a-3(a), 38a-1 Investment Company Act.
Mary S. Stone is alleged to have caused RMK Multi-Sector High Income Fund, Inc.'s violation of Rules 22c-1, 30a-3(a), 38a-1 Investment Company Act.
Mary S. Stone is alleged to have caused RMK Strategic Income Fund, Inc.'s violation of Rules 22c-1, 30a-3(a), 38a-1 Investment Company Act.
Mary S. Stone is alleged to have caused RMK Advantage Income Fund, Inc.'s violation of Rules 22c-1, 30a-3(a), 38a-1 Investment Company Act.
Resolutions
First Resolution Date
Other Defendants in Action:
