Defendant Name:
Dale C. Riggenberg
Defendant Type:
Individual
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
Affiliations
- Former: CFO at Anchor Bancorp Wisconsin, Inc. (From July 2007)
- Former: Controller/Comptroller at Anchor Bancorp Wisconsin, Inc. (From 1992)
Violations Alleged
•
Rules 13b2-1, 13b2-2(a) Exchange Act
Related Violations Alleged
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 an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
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 an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
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 an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
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).
Dale C. Riggenberg is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
26-Nov-2013
Headline Total Penalty and Disgorgement
$75,000
Other Defendants in Action:
