Defendant Name:
James David Hilty
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of James David Hilty
First Document Date
20-Sep-2019
Initial Filing Format
Administrative Action
File Number
3-19478
Allegation Type
Issuer Reporting and Disclosure
AAER
4082
Affiliations
- Former Chief Risk Officer (2/2004 - 9/2015); Current Director of Consumer Lending, Senior Credit Allowance Officer at The Bancorp, Inc.
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
James David Hilty is alleged to have caused The Bancorp, Inc.'s violation of Sec 13(a) of the Exchange Act.
James David Hilty is alleged to have caused The Bancorp, Inc.'s violation of Rule 13a-1 of the Exchange Act.
James David Hilty is alleged to have caused The Bancorp, Inc.'s violation of Rule 13a-13 of the Exchange Act.
James David Hilty is alleged to have caused The Bancorp, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Resolutions
First Resolution Date
20-Sep-2019
Headline Total Penalty and Disgorgement
$50,000
