These documents are not legal documents but are placed here for reference purposes only. For a legal copy please contact the department.
|Administrative Consent Order Dckt 14-016-S.pdf||1.3 MB|
Summary: Morgan Keegan Asset Management and Morgan Keegan & Company have been found to have materially aided an act, practice or course of business constituting assorted violations of the Vermont Uniform Securities Act (2002) or a rule adopted or order issued thereunder, and such conduct is the basis of this Administrative Consent Order. The assorted conduct includes violations related to deceptive marketing, unsuitable recommendations, and failures to appropriately supervise agents. The Administrative Consent Order is part of a multi-state settlement.