REGIONS INVESTMENT MANAGEMENT, INC. of BIRMINGHAM, AL is an SEC-registered investment adviser (CRD 111715). Regulatory assets under management: $20.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Pooled vehicles.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Daniel Curtis | DIRECTOR; SECRETARY/TREASURER | Walnut, CA |
| Daniel B Curtis | DIRECTOR; SECRETARY/TREASURER | Tewksbury, MA |
| Francesca Allen Smitherman | SENIOR VICE PRESIDENT | — |
| Samuel Alan Mcknight | PRESIDENT & CHAIRMAN, BOARD OF DIRECTORS | — |
| Gregory Thomas Firek | DIRECTOR | — |
| John David Ferrell | DIRECTOR | — |
| David Brent Wright | DIRECTOR | — |
| Tammy Ridley Roden | CHIEF COMPLIANCE OFFICER | Lillian, AL |
| SULLIVAN BRIAN B | PRESIDENT & CHIEF EXECUTIVE OFFICER; PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| KORN DONALD WILLIAM | DIRECTOR | — |
| BOSTON JOHN PRESTON | VICE PRESIDENT | — |
| MAXWELL CHARLES DARRYL | SECRETARY / TREASURER; SECRETARY/TREASURER; SECRETARY / TRESURER | — |
| WELLER JOSEPH CLEMENT | DIRECTOR | — |
| GEORGE DAVID MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| WRIGHT BRENT | DIRECTOR | — |
| ALDERMAN JAMES KENNETH | CHAIRMAN, CEO; CHAIRMAN, DIRECTOR; VICE CHAIRMAN, CEO | — |
| WOOD MICHELE FOWLER | CHIEF COMPLIANCE OFFICER | — |
| KRUCZEK ROBERT PATRICK | DIRECTOR; VICE CHAIRMAN | — |
| MCKNIGHT WILLIAM ALAN | CHAIRMAN, BOARD OF DIRECTORS; PRESIDENT & CHAIRMAN, BOARD OF DIRECTORS | — |
| EDWARDS GEORGE DOUGLAS | CHAIRMAN | — |
| CARSON JOHN CONGLETON | CHAIRMAN | — |
| ANTHONY CARTER EUGENE | PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| JONES WISE SWEPSTON | DIRECTOR | — |
| MORRISON CYNTHIA DENISE | CHIEF COMPLIANCE OFFICER | — |
| MORGAN ALLEN BENNERS | DIRECTOR; DIRECTOR, CHAIRMAN | — |
Showing 10 of 13 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLEMENT ORDER FINDING THATREGIONS SECURITIES LLC ("REGIONS") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO REGIONS' BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION17(A) OF THE SECURITIES EXCHANGE ACT OF 1… | Final | $750K |
| 2012-12-10 | regulatory | IT IS ALLEGED THAT MR. ALDERMAN AND OTHER NAMED RESPONDENTS ACTING AS MEMBERS OF THE BOARD OF DIRECTORS CAUSED OPEN-END FUND SERIES' VIOLATIONS OF RULE 22C-1, RULE 30A-3(A) AND RULE 38A-1 OF THE INVESTMENT COMPANY ACT, AND CAUSED A REGISTRATION STATEMENT FILED WITH THE COMMISSION TO BE FALSE OR MISL… | Final | — |
| 2010-04-07 | regulatory | SECURITIES ACT OF 1933 RELEASE 9116/SECURITIES EXCHANGE ACT OF 1934 RELEASE 61856/INVESTMENT ADVISERS ACT OF 1940 RELEASE 3009/INVESTMENT COMPANY ACT OF 1940 RELEASE 29203/ ACCOUNTING AND AUDITING ENFORCEMENT RELEASE 3125-APRIL 7, 2010: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT… | Final | $75.0M |
| 2010-04-05 | regulatory | VIOLATIONS OF SOUTH CAROLINA CODE ANN. ? 35-1-412(D) (2), (9) & (13) (SUPP. 2010) AND S.C. REG. 13-501 (A) (3), (21) (SUPP. 2010). | Final | $376K |
| 2010-04-05 | regulatory | VIOLATIONS OF THE TENNESSEE SECURITIES DIVISION, TENN. CODE ANN. ? 48-2-112(A)(2)(G)2 AND TENN. COMP. R. AND REGS. 0780-4-3-.02(6)(A)(15). | Final | $2.5M |
| 2010-04-05 | regulatory | ON APRIL 5, 2010, SHOW CAUSE NO. SC-2010-0016 WAS ISSUED TO RESPONDENTS MORGAN KEEGAN & CO., INC., MORGAN ASSET MANAGEMENT, INC., JAMES COOPER KELSOE, JR., BRIAN B. SULLIVAN, GARY SCOTT STRINGER AND MICHELE FOWLER WOOD FOR ENGAGING IN FRAUDULENT, DISHONEST OR UNETHICAL BUSINESS PRACTICES. RESPONDENT… | Final | $1.7M |
| 2010-04-05 | regulatory | VIOLATIONS OF MISSISSIPPI CODE ? 75-71-101, ET. SEQ. (2000) AND THE RULES PROMULGATED THEREUNDER. | Final | $606K |
| 2010-04-05 | regulatory | VIOLATIONS OF KENTUCKY REVISED STATUTES SECTION 292.337(2) (CURRENT), 808 KENTUCKY ADMINISTRATIVE REGULATIONS 10:330 AND 10:450. | Final | $450K |
| 2010-04-05 | regulatory | VIOLATIONS OF MISSISSIPPI CODE § 75-71-101, ET. SEQ. (2000) AND THE RULES PROMULGATED THEREUNDER. | Final | $606K |
| 2010-04-05 | regulatory | VIOLATIONS OF SOUTH CAROLINA CODE ANN. § 35-1-412(D) (2), (9) & (13) (SUPP. 2010) AND S.C. REG. 13-501 (A) (3), (21) (SUPP. 2010). | Final | $376K |