Regions Financial Corp. Settlement Agreements

10 Contracts & Agreements
Recent Contracts
Category
Company
Industry
Jur. Jurisdiction
Filed
Consent Order and Civil Money Penalty Assessment between Regions Bank, Federal Reserve, and Alabama State Banking Department
Settlement Agreements
Regions Financial Corp.
Banks
2014
Deferred Prosecution Agreement between SEC and Regions Financial Corporation (July 3, 2014)
Settlement Agreements
Regions Financial Corp.
Banks
2014
Administrative Consent Order Between State Securities Regulators and Morgan Keegan & Company, Morgan Asset Management, and James C. Kelsoe
Settlement Agreements
Regions Financial Corp.
Banks
2011
Tennessee Securities Division Consent Order with Morgan Keegan & Company, Morgan Asset Management, and James C. Kelsoe, Jr.
Settlement Agreements
Regions Financial Corp.
Banks
TN
2011
South Carolina Securities Commissioner Administrative Consent Order with Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., and James C. Kelsoe, Jr.
Settlement Agreements
Regions Financial Corp.
Banks
SC
2011
Mississippi Secretary of State Administrative Consent Order with Morgan Asset Management, Morgan Keegan & Company, and James C. Kelsoe, Jr.
Settlement Agreements
Regions Financial Corp.
Banks
MS
2011
Kentucky Public Protection Cabinet Administrative Consent Order with Morgan Keegan & Company, Morgan Asset Management, and James C. Kelsoe, Jr.
Settlement Agreements
Regions Financial Corp.
Banks
KY
2011
Alabama Securities Commission Administrative Consent Order with Morgan Keegan & Company, Morgan Asset Management, and Related Individuals
Settlement Agreements
Regions Financial Corp.
Banks
AL
2011
FINRA Letter of Acceptance, Waiver and Consent between FINRA and Morgan Keegan & Company, Inc.
Settlement Agreements
Regions Financial Corp.
Banks
2011
SEC Order Imposing Remedial Sanctions and Cease-and-Desist Against Morgan Asset Management, Morgan Keegan, and Individuals (June 22, 2011)
Settlement Agreements
Regions Financial Corp.
Banks
2011