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Rating:SEC Continues Case Against Columbia Execs Not Rated 0.0 Email Routing List Email & Route  Print Print
Friday, May 26, 2006

SEC Continues Case Against Columbia Execs

by: Marie Glancy

The SEC isn't yet through with two former executives at Columbia Funds Distributor.

Last Friday the Commission refiled an enforcement action against James Tambone and Robert Hussey that was originally lodged in February 2005 and dismissed without prejudice in January of this year. The complaint alleges the two violated their funds' prospectuses by making or approving short-term trading arrangements with at least eight preferred customers.

 

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