Defendant Name:
Morgan Keegan & Company, Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
court_doc118_09-cv-01965
Document Details
Legal Case Name
SEC v. Morgan Keegan & Company, Inc.
Document Name
Judgment
Document Date
15-Feb-2013
Document Format
Civil Proceeding
Case Number
09-cv-01965
Federal District Court
Georgia, Northern District of Georgia
Federal District Judge
William S. Duffey, Jr.
Allegation Type
Broker Dealer
Document Summary
The Court stated: "[I]t is Ordered and Adjudged that Morgan Keegan shall pay a civil monetary penalty in the amount of $110,500 and that Keegan offer to repurchase any remaining ARS and ARPS it sold to, and that are still held by, Tillis, Ali, Wells, Ellis, Withers, Kipp, Landy , Farmer, Kartalis, Gaskin, Doega, Hubbell, Jennings, Koenig, Alter, Cook, and Jones."
Disgorgement & Penalty Information
Resolutions
Required repurchase of auction rate securities
Monetary Penalties:
Civil Penalty
Individual:
$110,500.00
Shared: