Defendant Name: Anchor Bancorp Wisconsin, Inc.

Defendant Type: Public Company
SIC Code: 6030
CUSIP: 03283910

Initial Case Details

Legal Case Name SEC v. Anchor Bancorp Wisconsin, Inc. et al.
First Document Date 14-Aug-2013
Initial Filing Format Civil Proceeding
Case Number 13-cv-01241
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 13(a)
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Additionally, Dale C. Riggenberg is alleged to have aided and abetted Anchor Bancorp Wisconsin, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Dale C. Riggenberg is alleged to have aided and abetted Anchor Bancorp Wisconsin, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Dale C. Riggenberg is alleged to have aided and abetted Anchor Bancorp Wisconsin, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Dale C. Riggenberg is alleged to have aided and abetted Anchor Bancorp Wisconsin, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date 14-Aug-2013

Related Documents:

comp22778 14-Aug-2013 Complaint
Complaint
On August 14, 2013, the SEC filed a complaint alleging that "Anchor Bancorp Wisconsin, Inc. ("Anchor") and its then-CFO, Dale C. Ringgenberg, intentionally or recklessly made misstatements in Anchor's quarterly Report on Form 10-Q for the period ended June 30, 2009."
LR-22778 14-Aug-2013 Litigation Release
Commission Charges Anchor Bancorp Wisconsin and Former CFO with Fraud
On August 14, 2013, the SEC announced that it filed a settled civil action against Anchor Bancorp Wisconsin, Inc. and its former CFO. According to the SEC, Anchor and its former officer "intentionally or recklessly made material misstatements in Anchor's quarterly Report on Form 10 Q for the period ended June 30, 2009."
court_doc3_13-cv-01241 26-Nov-2013 Court Docket Document
Final Judgment as to Defendant Anchor Bancorp Wisconsin, Inc.
On November 26, 2013, Judge Reggie B. Walton entered Final Judgment as to defendant Anchor Bancorp Wisconsin, Inc. Anchor Bancorp Wisconsin, Inc. consented to the entry of the Final Judgment without admitting or denying the allegations of the SEC's complaint.

Other Defendants in Action:

Dale C. Riggenberg