Violation Tracker Individual Record
Company:AmSouth Investment Services Inc.
Date:March 26, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
AmSouth agreed to pay a total of $225,000 to regulators in Alabama and Mississippi to resolve a case involving deceptive practices by one of its broker-dealers.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Alabama
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
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