Violation Tracker Individual Record
Date:September 21, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Regions Bank agreed to pay $1 million to settle allegations relating to its role in an offering fraud that victimized thousands of investors predominantly in Latin America.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
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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